0001209191-16-089441.txt : 20160105
0001209191-16-089441.hdr.sgml : 20160105
20160105195951
ACCESSION NUMBER: 0001209191-16-089441
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160102
FILED AS OF DATE: 20160105
DATE AS OF CHANGE: 20160105
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Webster Kenneth J
CENTRAL INDEX KEY: 0001428858
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11442
FILM NUMBER: 161324947
MAIL ADDRESS:
STREET 1: ONE INFINITY CORPORATE CENTRE
STREET 2: SUITE 300
CITY: GARFIELD HEIGHTS
STATE: OH
ZIP: 44125
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2016-01-02
0
0000892553
CHART INDUSTRIES INC
GTLS
0001428858
Webster Kenneth J
ONE INFINITY CORPORATE CENTRE DRIVE
GARFIELD HEIGHTS
OH
44125
0
1
0
0
Vice Pres., CAO and Controller
Common Stock, par value $0.01 per share
2016-01-02
4
F
0
148
17.96
D
8473
D
Common Stock, par value $0.01 per share
2016-01-02
4
M
0
390
0.00
A
8863
D
Common Stock, par value $0.01 per share
2016-01-02
4
F
0
149
17.96
D
8714
D
Common Stock, par value $0.01 per share
2016-01-04
4
A
0
2590
0.00
A
11304
D
Stock Option (Right to Buy)
17.03
2020-01-04
Common Stock
965
965
D
Stock Option (Right to Buy)
36.45
2021-01-03
Common Stock
2590
2590
D
Stock Option (Right to Buy)
55.93
2022-01-03
Common Stock
1520
1520
D
Stock Option (Right to Buy)
68.21
2023-01-02
Common Stock
1310
1310
D
Restricted Stock Unit
0.00
2016-01-02
4
M
0
390
0.00
D
2016-01-02
Common Stock
390
0
D
Stock Option (Right to Buy)
93.34
2024-01-02
Common Stock
1200
1200
D
Restricted Stock Unit
0.00
2017-01-02
Common Stock
650
650
D
Stock Option (Right to Buy)
34.27
2025-01-02
Common Stock
3950
3950
D
Stock Option (Right to Buy)
17.72
2016-01-04
4
A
0
8690
0.00
A
2026-01-04
Common Stock
8690
8690
D
The reporting person surrendered 148 shares upon the vesting of 386 restricted share units, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
774 shares of the total amount beneficially owned were granted on January 2, 2015, pursuant to a Restricted Share Unit Agreement under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction.
These shares represent the vesting of Leveraged Restricted Share Units ("LRSUs") granted on January 2, 2013, under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan, that have vested and are paid out in shares of common stock. The minimum number of shares of Company common stock that could be issued at payment is 50% of the grant amount of LRSUs, and the maximum number of shares of Company common stock that could be issued at payment is 150% of the grant amount of LRSUs. This LRSU award was originally reported at target performance levels comprising 780 shares, but only 390 shares vested, which reflects actual performance under the LRSU award agreement.
The reporting person surrendered 149 shares upon the vesting of LRSUs, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
These Restricted Share Units were granted on January 4, 2016 pursuant to the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. Shares of Company common stock will be issued with respect to one-third (1/3) of the total number of shares on each of the first three anniversaries of the date of grant, subject to tax withholding requirements.
2,590 and 774 shares of the total amount beneficially owned were granted on January 4, 2016 and January 2, 2015, respectively, pursuant to restricted share unit agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction.
No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
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.
These options were granted on January 3, 2012 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 2, 2013 pursuant to the Chart Industries, Inc. Amended and Restated 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.
This LRSU award was granted on January 2, 2013 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan. The minimum number of shares of Company common stock that could be issued at payment is 50% of the grant amount of LRSUs, and the maximum number of shares of Company common stock that could be issued at payment is 150% of the grant amount of LRSUs. This LRSU award was originally reported at target performance levels comprising 780 shares, but only 390 shares vested, which reflects actual performance under the LRSU award agreement.
These options were granted on January 2, 2014 pursuant to the Chart Industries, Inc. Amended and Restated 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 LRSUs were granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. Shares of Company common stock will be issued following the vesting of the LRSUs on the third anniversary of the date of grant. The minimum number of shares of Company common stock that will be issued at payment is 50% of the grant amount of LRSUs, and the maximum number of shares of Company common stock that will be issued at payment is 150% of the grant amount of LRSUs.
These options were granted on January 2, 2015 pursuant to the Chart Industries, Inc. Amended and Restated 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 4, 2016 pursuant to the Chart Industries, Inc. Amended and Restated 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/ Kenneth J. Webster, by Matthew J. Klaben, his attorney-in-fact pursuant to Power of Attorney dated March 1, 2008 on file with the Commission.
2016-01-05