AI assistant
CHART INDUSTRIES INC — Director's Dealing 2012
Jan 9, 2012
30669_dirs_2012-01-09_b05f140a-5b63-4ff6-a276-a5cc3d8b25b3.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 4/A — Form 4/A
Issuer: CHART INDUSTRIES INC (GTLS)
CIK: 0000892553
Period of Report: 2012-01-03
Reporting Person: BIEHL MICHAEL F (Executive VP, CFO & Treasurer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-01-03 | Common Stock, par value $0.01 per share | F | 342 | $55.93 | Disposed | 8702 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-01-03 | Stock Option (Right to Buy) | $55.93 | A | 5840 | Acquired | 2022-01-03 | Common Stock (5840) | Direct |
| 2012-01-03 | Restricted Stock Unit | $0.00 | A | 2410 | Acquired | 2015-01-03 | Common Stock (2410) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $0.01 per share | 26000 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $30.95 | 2018-01-02 | Common Stock (1625) | 1625 | Direct |
| Stock Option (Right to Buy) | $11.00 | 2019-01-02 | Common stock (4875) | 4875 | Direct |
| Stock Option (Right to Buy) | $17.03 | 2020-01-04 | Common Stock (8250) | 8250 | Direct |
| Stock Option (Right to Buy) | $36.45 | 2021-01-03 | Common Stock (7240) | 7240 | Direct |
Footnotes
F1: The reporting person surrendered 342 shares upon vesting of 1/3 of the reporting person's January 3, 2011 restricted stock award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
F2: 6,194 and 1,894 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.
F3: The purpose of this amendment is to correct a clerical error that resulted in an incorrect direct share holding total of 8,072 shares for the reporting person on his original Form 4.
F4: No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
F5: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the benficial owner of these securities for purposes of Section 16 or for any other purpose.
F6: 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.
F7: 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.
F8: 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.
F9: 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.
F10: 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.
F11: These securities, which are referred to by the Company as Leveraged Restricted Share Units (LRSUs), were granted on January 3, 2012 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. 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.