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CHART INDUSTRIES INC — Director's Dealing 2011
Jan 5, 2011
30669_dirs_2011-01-05_06440b92-fa0d-4f53-ba2b-bbef62dea501.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CHART INDUSTRIES INC (GTLS)
CIK: 0000892553
Period of Report: 2010-12-22
Reporting Person: THOMAS SAMUEL F (Director, Chairman, CEO and President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2010-12-22 | Common Stock, par value $0.01 per share | G | 710 | $0.00 | Disposed | 148555 | Direct |
| 2010-12-22 | Common Stock, par value $0.01 per share | G | 710 | $0.00 | Acquired | 20710 | Indirect |
| 2010-12-22 | Common Stock, par value $0.01 per share | G | 385 | $0.00 | Disposed | 148170 | Direct |
| 2010-12-22 | Common Stock, par value $0.01 per share | G | 385 | $0.00 | Disposed | 147785 | Direct |
| 2010-12-22 | Common Stock, par value $0.01 per share | G | 385 | $0.00 | Disposed | 147400 | Direct |
| 2011-01-03 | Common Stock, par value $0.01 per share | A | 12990 | $0.00 | Acquired | 160390 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2011-01-03 | Stock Option (Right to Buy) | $36.45 | A | 33070 | Acquired | 2011-01-03 | Common Stock (33070) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $0.01 per share | 130000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $6.50 | 2015-11-23 | Common Stock (237388) | 237388 | Direct |
| Stock Option (Right to Buy) | $6.50 | 2015-11-23 | Common Stock (356876) | 356876 | Direct |
| Stock Option (Right to Buy) | $27.74 | 2017-08-02 | Common Stock (18300) | 18300 | Direct |
| Stock Option (Right to Buy) | $30.95 | 2018-01-02 | Common Stock (18950) | 18950 | Direct |
| Stock Option (Right to Buy) | $11.00 | 2019-01-02 | Common stock (50000) | 50000 | Direct |
| Stock Option (Right to Buy) | $17.03 | 2020-01-04 | Common Stock (47170) | 47170 | Direct |
Footnotes
F1: No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
F2: 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.
F3: These securities were granted on January 3, 2011 pursuant to a restricted stock award agreement under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The restricted stock awards vest in equal installments on each of the first three anniversaries of the date of grant.
F4: 43,420 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. The restricted stock awards vest in equal installments on each of the first three anniversaries of the date of grant.
F5: These options were granted on November 23, 2005 pursuant to the terms of the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive Plan in an exempt transaction under Rule 16b-3. The options vest annually from the date of grant in equal installments over five years based on continued service.
F6: 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.
F7: 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.
F8: 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.
F9: 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.
F10: 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.
F11: 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.