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CHART INDUSTRIES INC — Director's Dealing 2016
May 4, 2016
30669_dirs_2016-05-04_1157bb2a-1acd-4104-9680-78b875985ff4.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: 2016-05-03
Reporting Person: Webster Kenneth J (Vice President and CFO)
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2016-05-03 | Stock Option (Right to Buy) | $25.13 | A | 12770 | Acquired | 2026-05-03 | Common Stock (12770) | Direct |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock, par value $0.01 per share | 15618 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $17.03 | 2020-01-04 | Common Stock (965) | 965 | Direct |
| Stock Option (Right to Buy) | $36.45 | 2021-01-03 | Common Stock (2590) | 2590 | Direct |
| Stock Option (Right to Buy) | $55.93 | 2022-01-03 | Common Stock (1520) | 1520 | Direct |
| Stock Option (Right to Buy) | $68.21 | 2023-01-02 | Common Stock (1310) | 1310 | Direct |
| Stock Option (Right to Buy) | $93.34 | 2024-01-02 | Common Stock (1200) | 1200 | Direct |
| Restricted Stock Unit | $0.00 | 2017-01-02 | Common Stock (650) | 650 | Direct |
| Stock Option (Right to Buy) | $34.27 | 2025-01-02 | Common Stock (3950) | 3950 | Direct |
| Stock Option (Right to Buy) | $17.72 | 2026-01-04 | Common Stock (8690) | 8690 | Direct |
Footnotes
F1: No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
F2: 3,900, 2,590 and 774 shares of the total amount beneficially owned were granted on April 15, 2016, 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.
F3: 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.
F4: 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.
F5: 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.
F6: 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.
F7: 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.
F8: These LRSUs were granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under 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 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.
F9: 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.
F10: 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.
F11: These options were granted on May 3, 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.