0001209191-17-002355.txt : 20170105 0001209191-17-002355.hdr.sgml : 20170105 20170105183257 ACCESSION NUMBER: 0001209191-17-002355 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: WOLFE ROBERT H CENTRAL INDEX KEY: 0001224937 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11442 FILM NUMBER: 17512348 MAIL ADDRESS: STREET 1: ONE CB&I PLAZA STREET 2: 2103 RESEARCH FOREST DRIVE CITY: THE WOODLANDS STATE: TX ZIP: 77380 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-03 0 0000892553 CHART INDUSTRIES INC GTLS 0001224937 WOLFE ROBERT H ONE INFINITY CORPORATE CENTRE DRIVE GARFIELD HEIGHTS OH 44125 0 1 0 0 V.P., General Counsel and Sec. Common Stock, par value $0.01 per share 2017-01-03 4 A 0 4690 0.00 A 9039 D Common Stock, par value $0.01 per share 2017-01-03 4 F 0 253 36.93 D 8786 D Common Stock, par value $0.01 per share 2017-01-04 4 F 0 96 38.14 D 8690 D Stock Option (Right to Buy) 45.46 2021-05-25 Common Stock 1125 1125 D Stock Option (Right to Buy) 55.93 2022-01-03 Common Stock 840 840 D Stock Option (Right to Buy) 68.21 2023-01-02 Common Stock 893 893 D Stock Option (Right to Buy) 93.34 2024-01-02 Common Stock 900 900 D Stock Option (Right to Buy) 34.27 2025-01-02 Common Stock 2070 2070 D Stock Option (Right to Buy) 17.72 2026-01-04 Common Stock 4510 4510 D Stock Option (Right to Buy) 36.93 2017-01-03 4 A 0 14140 0.00 A 2027-01-03 Common Stock 14140 14140 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. 4,690, 1,376 and 276 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 253 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. 4,437, 1,376 and 276 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 96 shares upon the vesting of 382 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. 4,437, 994 and 276 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. These options were granted on May 25, 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/ Robert H. Wolfe, by Arthur C. Hall III, his attorney-in-fact pursuant to Power of Attorney dated November 4, 2016 on file with the Commission. 2017-01-05