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CHART INDUSTRIES INC — Director's Dealing 2016
Nov 14, 2016
30669_dirs_2016-11-14_f4ca4351-eccc-44b3-9c02-a32736360d6b.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CHART INDUSTRIES INC (GTLS)
CIK: 0000892553
Period of Report: 2016-11-04
Reporting Person: WOLFE ROBERT H (V.P., General Counsel and Sec.)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $0.01 per share | 4427 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $45.46 | 2021-05-25 | Common Stock (1125) | Direct | |
| Stock Option (Right to Buy) | $55.93 | 2022-01-03 | Common Stock (840) | Direct | |
| Stock Option (Right to Buy) | $68.21 | 2023-01-02 | Common Stock (893) | Direct | |
| Stock Option (Right to Buy) | $93.34 | 2024-01-02 | Common Stock (900) | Direct | |
| Stock Option (Right to Buy) | $34.27 | 2025-01-02 | Common Stock (2070) | Direct | |
| Stock Option (Right to Buy) | $17.72 | 2026-01-04 | Common Stock (4510) | Direct |
Footnotes
F1: 1,376, 447 and 107 shares of the total amount beneficially owned were granted on January 4, 2016, January 2, 2015 and January 2, 2014, respectively, pursuant to restricted share unit and restricted stock award 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.
F2: 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.
F3: 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.
F4: 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.
F5: 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.
F6: 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.
F7: 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.