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CHART INDUSTRIES INC — Director's Dealing 2021
May 21, 2021
30669_dirs_2021-05-21_fc868585-c689-46b2-9fec-9819f946f807.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: 2021-05-12
Reporting Person: Ducote Douglas A Jr. (Chief Technology Officer)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common stock, par value $0.01 per share | 6011 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $55.93 | 2022-01-03 | Common stock, par value $0.01 per share (2250.0) | Direct | |
| Stock Option (Right to Buy) | $48.39 | 2028-01-02 | Common stock, par value $0.01 per share (688.0) | Direct | |
| Stock Option (Right to Buy) | $65.95 | 2029-01-02 | Common stock, par value $0.01 per share (1025.0) | Direct | |
| Stock Option (Right to Buy) | $68.8 | 2030-01-02 | Common stock, par value $0.01 per share (1725.0) | Direct | |
| Stock Option (Right to Buy) | $118.41 | 2031-01-04 | Common stock, par value $0.01 per share (900.0) | Direct |
Footnotes
F1: Total includes 217 restricted stock units ("RSUs") granted on January 2, 2019, 830 RSUs granted on November 20, 2019, 481 RSUs granted on January 2, 2020, 1,179 RSUs granted on March 13, 2020, 476 RSUs granted on January 4, 2021 and 1,885 RSUs granted on February 16, 2021 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in exempt transactions under Rule 16b-3. Shares of common stock will be issued with respect to one-third (1/3) of the total number of shares on each of the three anniversaries of the date of grant, subject to tax withholding requirements, except with regard to the November 20, 2019 RSU grant, which vests in full on November 20, 2022 (the third anniversary of the date of grant).
F2: 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. These options are fully vested.
F3: These options were granted on January 2, 2018 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. These 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, 2019 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. These 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, 2020 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. These 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 4, 2021 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. These 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.