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CHART INDUSTRIES INC — Director's Dealing 2017
Jan 5, 2017
30669_dirs_2017-01-05_48865ed3-65ed-4f14-8777-4dc2fce38bb3.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: 2017-01-04
Reporting Person: Cook Mary C. (CAO and Controller)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-01-04 | Common stock, par value $0.01 per share | F | 292 | $38.14 | Disposed | 4483 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $25.13 | 2026-05-03 | Common Stock (6050) | 6050 | Direct |
| Stock Option (Right to Buy) | $36.93 | 2027-01-03 | Common Stock (3680) | 3680 | Direct |
Footnotes
F1: The reporting person surrendered 292 shares upon the vesting of 753 restricted share units, which is one-third (1/3) of the reporting person's January 4, 2016 restricted share unit award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
F2: 1,100, 1,507 and 337 shares of the total amount beneficially owned were granted on January 3, 2017, 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: No transaction is being reported on this line. Reported on a previously filed Form 4.
F4: 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.
F5: 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.
F6: Amount adjusted to account for an administrative error in the previously filed Form 4, which resulted in the over-reporting of the reporting person's January 3, 2017 stock option award by 180 shares.