0001209191-17-002346.txt : 20170105
0001209191-17-002346.hdr.sgml : 20170105
20170105182917
ACCESSION NUMBER: 0001209191-17-002346
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170103
FILED AS OF DATE: 20170105
DATE AS OF CHANGE: 20170105
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: THOMAS SAMUEL F
CENTRAL INDEX KEY: 0001266362
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11442
FILM NUMBER: 17512313
MAIL ADDRESS:
STREET 1: 5885 LANDERBROOK DRIVE
STREET 2: STE 205
CITY: MEDINE
STATE: OH
ZIP: 44124
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-01-03
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
2017-01-03
4
A
0
29600
0.00
A
134344
D
Common Stock, par value $0.01 per share
2017-01-03
4
F
0
696
36.93
D
133648
D
Common Stock, par value $0.01 per share
2017-01-04
4
F
0
2885
38.14
D
130763
D
Common Stock, par value $0.01 per share
28275
I
By spouse
Common Stock, par value $0.01 per share
48020
I
By Trusts
Common Stock, par value $0.01 per share
36000
I
By Trust
Common Stock, par value $0.01 per share
54000
I
By Trust
Common Stock, par value $0.01 per share
46000
I
By Trust
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
Stock Option (Right to Buy)
55.93
2022-01-03
Common Stock
21410
21410
D
Stock Option (Right to Buy)
68.21
2023-01-02
Common Stock
19470
19470
D
Stock Option (Right to Buy)
93.34
2024-01-02
Common Stock
17880
17880
D
Stock Option (Right to Buy)
34.27
2025-01-02
Common Stock
58630
58630
D
Stock Option (Right to Buy)
17.72
2026-01-04
Common Stock
125240
125240
D
Stock Option (Right to Buy)
36.93
2017-01-03
4
A
0
89220
0.00
A
2027-01-03
Common Stock
89220
89220
D
These restricted share units were granted on January 3, 2017 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.
29,600, 36,472, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, 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.
The reporting person surrendered 696 shares subject to the restricted share unit award, to satisfy tax withholding liabilities associated with the award, in an exempt transaction under Rule 16b-3.
28,904, 36,472, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, 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.
The reporting person surrendered 2,885 shares upon the vesting of 11,538 restricted share units, which is one-third (1/3) of the reporting person's January 4, 2016 restricted share unit award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
28,904, 24,934, and 5,756 shares of the total amount beneficially owned were granted on January 3, 2017, 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.
Held by trusts for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trusts, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trusts' shares for purposes of Section 16 or for any other purpose.
Held by trust, with spouse as trustee, for the benefit of the reporting person's family member. 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.
Held by trust for the benefit of the reporting person's family members, including his spouse. 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.
Held by trust for the benefit of the reporting person's family members, including the reporting person.
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.
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.
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 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.
These options were granted on January 3, 2017 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/ Samuel F. Thomas, by Arthur C. Hall III, his attorney-in-fact pursuant to Power of Attorney dated June 29, 2006 on file with the Commission
2017-01-05