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CHART INDUSTRIES INC — Director's Dealing 2017
Feb 17, 2017
30669_dirs_2017-02-17_2a0b38e3-2f1e-4ad7-a91b-583236ebae44.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: 2017-02-15
Reporting Person: Webster Kenneth J (Vice President and CFO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-15 | Common Stock, par value $0.01 per share | A | 959 | $0.00 | Acquired | 20150 | Direct |
| 2017-02-15 | Common Stock, par value $0.01 per share | F | 317 | $39.78 | Disposed | 19833 | 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 |
| 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 |
| Stock Option (Right to Buy) | $36.93 | 2027-01-03 | Common Stock (12900) | 12900 | Direct |
Footnotes
F1: Represents performance units granted on January 2, 2014, under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan, that have vested and are paid out in shares of common stock.
F2: 3,850, 3,900, 1,727 and 387 and shares of the total amount beneficially owned were granted on January 3, 2017, 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: The reporting person surrendered 317 shares upon vesting of performance units, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
F4: No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
F5: 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.
F6: 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.
F7: 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.
F8: 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.
F9: 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.
F10: 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.
F11: 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.
F12: 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.