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CHART INDUSTRIES INC · Jan 4, 9:08 PM ET

CHART INDUSTRIES INC 4

4 · CHART INDUSTRIES INC · Filed Jan 4, 2017

Insider Transaction Report

Form 4
Period: 2017-01-02
CHART INDUSTRIES INCGTLS
Webster Kenneth J
Vice President and CFO
Transactions
  • Tax Payment

    Common Stock, par value $0.01 per share

    [F1][F2]
    2017-01-02$36.02/sh−148$5,331→ 15,470 total
  • Exercise/Conversion

    Common Stock, par value $0.01 per share

    [F3][F2]
    2017-01-02+325→ 15,795 total
  • Tax Payment

    Common Stock, par value $0.01 per share

    [F4][F2]
    2017-01-02$36.02/sh−124$4,466→ 15,671 total
  • Award

    Common Stock, par value $0.01 per share

    [F5][F6]
    2017-01-03+3,850→ 19,521 total
  • Exercise/Conversion

    Restricted Stock Unit

    [F13]
    2017-01-02−325→ 0 total
    Exercise: $0.00Exp: 2017-01-02→ Common Stock (325 underlying)
  • Award

    Stock Option (Right to Buy)

    [F16]
    2017-01-03+12,900→ 12,900 total
    Exercise: $36.93Exp: 2027-01-03→ Common Stock (12,900 underlying)
Holdings

  • Stock Option (Right to Buy)

    [F7][F8]
    Exercise: $17.03Exp: 2020-01-04→ Common Stock (965 underlying)
    965

  • Stock Option (Right to Buy)

    [F7][F9]
    Exercise: $36.45Exp: 2021-01-03→ Common Stock (2,590 underlying)
    2,590

  • Stock Option (Right to Buy)

    [F7][F10]
    Exercise: $55.93Exp: 2022-01-03→ Common Stock (1,520 underlying)
    1,520

  • Stock Option (Right to Buy)

    [F7][F11]
    Exercise: $68.21Exp: 2023-01-02→ Common Stock (1,310 underlying)
    1,310

  • Stock Option (Right to Buy)

    [F7][F12]
    Exercise: $93.34Exp: 2024-01-02→ Common Stock (1,200 underlying)
    1,200

  • Stock Option (Right to Buy)

    [F7][F14]
    Exercise: $34.27Exp: 2025-01-02→ Common Stock (3,950 underlying)
    3,950

  • Stock Option (Right to Buy)

    [F7][F15]
    Exercise: $17.72Exp: 2026-01-04→ Common Stock (8,690 underlying)
    8,690
Footnotes (16)
  • [F1]The reporting person surrendered 148 shares upon the vesting of 387 restricted share units, which is one-third of the reporting person's January 2, 2015 restricted share unit award, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
  • [F10]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.
  • [F11]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.
  • [F12]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.
  • [F13]This LRSU award was granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The minimum number of shares of Company common stock that could be issued at payment is 50% of the grant amount of LRSUs, and the maximum number of shares of Company common stock that could be issued at payment is 150% of the grant amount of LRSUs. This LRSU award was originally reported at target performance levels comprising 650 shares, but only 325 shares vested, which reflects actual performance under the LRSU award agreement.
  • [F14]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.
  • [F15]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.
  • [F16]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.
  • [F2]3,900, 2,590 and 387 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 shares represent vesting of Leveraged Restricted Share Units (LRSUs) granted on January 2, 2014 pursuant to a Leveraged Restricted Share Unit Agreement under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. The LRSU award was originally reported at target performance levels comprising 650 shares, but only 325 shares vested and will be paid in shares of Company common stock, which reflects actual performance under the LRSU award agreement.
  • [F4]The reporting person surrendered 124 shares upon the vesting of LRSUs, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
  • [F5]These restricted share units 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. Shares of Company common stock will be issued with respect to one-third (1/3) of the total number of shares on each of the first three anniversaries of the date of grant, subject to tax withholding requirements.
  • [F6]3,850, 3,900, 2,590 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.
  • [F7]No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
  • [F8]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.
  • [F9]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.
Signature
/s/ Kenneth J. Webster, by Arthur C. Hall III, his attorney-in-fact pursuant to Power of Attorney dated March 1, 2008 on file with the Commission.|2016-01-04

Documents

1 file
  • 4
    doc4.xmlPrimary

    FORM 4 SUBMISSION