0001209191-11-054944.txt : 20111108 0001209191-11-054944.hdr.sgml : 20111108 20111108160505 ACCESSION NUMBER: 0001209191-11-054944 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111104 FILED AS OF DATE: 20111108 DATE AS OF CHANGE: 20111108 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: THOMAS SAMUEL F CENTRAL INDEX KEY: 0001266362 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11442 FILM NUMBER: 111187840 MAIL ADDRESS: STREET 1: 5885 LANDERBROOK DRIVE STREET 2: STE 205 CITY: MEDINE STATE: OH ZIP: 44124 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CHART INDUSTRIES INC CENTRAL INDEX KEY: 0000892553 STANDARD INDUSTRIAL CLASSIFICATION: FABRICATED PLATE WORK (BOILER SHOPS) [3443] IRS NUMBER: 341712937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ONE INFINITY CORPORATE CENTRE DRIVE STREET 2: SUITE 300 CITY: GARFIELD HEIGHTS STATE: OH ZIP: 44125-5370 BUSINESS PHONE: 4407531490 MAIL ADDRESS: STREET 1: ONE INFINITY CORPORATE CENTRE DRIVE STREET 2: SUITE 300 CITY: GARFIELD HEIGHTS STATE: OH ZIP: 44125-5370 4 1 doc4.xml FORM 4 SUBMISSION X0304 4 2011-11-04 0 0000892553 CHART INDUSTRIES INC GTLS 0001266362 THOMAS SAMUEL F ONE INFINITY CORPORATE CENTRE DRIVE GARFIELD HEIGHTS OH 44125 1 1 0 0 Chairman, CEO and President Common Stock, par value $0.01 per share 2011-11-04 4 M 0 50000 6.50 A 205191 D Common Stock, par value $0.01 per share 2011-11-04 4 S 0 50000 59.59 D 155191 D Common Stock, par value $0.01 per share 11245 I By Trust Common Stock, par value $0.01 per share 130000 I By spouse Stock Option (Right to Buy) 6.50 2011-11-04 4 M 0 50000 0.00 D 2007-06-12 2015-11-23 Common Stock 50000 244264 D Stock Option (Right to Buy) 27.74 2017-08-02 Common Stock 18300 18300 D Stock Option (Right to Buy) 30.95 2018-01-02 Common Stock 18950 18950 D Stock Option (Right to Buy) 11.00 2019-01-02 Common stock 50000 50000 D Stock Option (Right to Buy) 17.03 2020-01-04 Common Stock 47170 47170 D Stock Option (Right to Buy) 36.45 2021-01-03 Common Stock 33070 33070 D 28,947 and 12,990 shares of the total amount beneficially owned were granted on February 22, 2010 and January 3, 2011, respectively, pursuant to restricted stock award agreements under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. The restricted stock awards vest in equal installments on each of the first three anniversaries of the date of grant. Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $59.50 - $59.94. The reporting person hereby undertakes, upon request by the Commission staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price. No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5. Held by trust for the benefit of the reporting person's daughter. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose. These options were granted on November 23, 2005 as performance options under the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3 and became fully vested on June 12, 2007. These options were granted on August 2, 2007 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. These options were granted on January 2, 2008 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. These options were granted on January 2, 2009 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. These options were granted on January 4, 2010 pursuant to the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. These options were granted on January 3, 2011 pursuant to the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The options vest with respect to one-fourth (1/4) of the total number of shares of common stock underlying the stock options on each of the first four anniversaries of the date of grant. /s/ Samuel F. Thomas, by Matthew J. Klaben, his attorney-in-fact pursuant to Power of Attorney dated June 29, 2006 on file with the Commission 2011-11-08