Filing Details
- Accession Number:
- 0001209191-12-041262
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-08-10 16:11:38
- Reporting Period:
- 2012-08-09
- Filing Date:
- 2012-08-10
- Accepted Time:
- 2012-08-10 16:11:38
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 892553 | Chart Industries Inc | GTLS | Fabricated Plate Work (Boiler Shops) (3443) | 341712937 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1082785 | F Michael Biehl | One Infinity Corporate Centre Drive Garfield Heights OH 44125 | Executive Vp, Cfo & Treasurer | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-08-09 | 1,625 | $30.95 | 16,130 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-08-09 | 1,625 | $68.00 | 14,505 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-08-09 | 2,437 | $11.00 | 16,942 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-08-09 | 2,437 | $68.00 | 14,505 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-08-09 | 2,750 | $17.03 | 17,255 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-08-09 | 2,750 | $68.00 | 14,505 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Acquisiton | 2012-08-09 | 1,810 | $36.45 | 16,315 | No | 4 | M | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-08-09 | 1,810 | $68.00 | 14,505 | No | 4 | S | Direct | |
| Common Stock, Par Value $0.01 Per Share | Disposition | 2012-08-09 | 7,500 | $68.00 | 18,500 | No | 4 | S | Indirect | By spouse as Trustee for the Eileen M. Biehl Declaration of Trust |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Indirect | By spouse as Trustee for the Eileen M. Biehl Declaration of Trust |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-08-09 | 1,625 | $0.00 | 1,625 | $30.95 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-08-09 | 2,437 | $0.00 | 2,437 | $11.00 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-08-09 | 2,750 | $0.00 | 2,750 | $17.03 |
| Common Stock | Stock Option (Right to Buy) | Disposition | 2012-08-09 | 1,810 | $0.00 | 1,810 | $36.45 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | 2018-01-02 | No | 4 | M | Direct | |
| 2,438 | 2019-01-02 | No | 4 | M | Direct | |
| 5,500 | 2020-01-04 | No | 4 | M | Direct | |
| 5,430 | 2021-01-03 | No | 4 | M | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option (Right to Buy) | $55.93 | 2022-01-03 | 5,840 | 5,840 | Direct | |
| Common Stock | Restricted Stock Unit | $0.00 | 2015-01-03 | 2,410 | 2,410 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2022-01-03 | 5,840 | 5,840 | Direct |
| 2015-01-03 | 2,410 | 2,410 | Direct |
Footnotes
- 3,098 and 1,894 shares of the total amount beneficially owned were granted on February 22, 2010 and January 3, 2011, respectively, pursuant to restricted stock award agreements under the Chart Industries, Inc. 2009 Omnibus Equity Plan in an exempt transaction under Rule 16b-3 and remain subject to restriction. The restricted stock awards vest in equal installments on each of the first three anniversaries of the date of grant.
- The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the benficial owner of these securities for purposes of Section 16 or for any other purpose.
- These options were granted on January 2, 2008 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive 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.
- These options were granted on January 2, 2009 pursuant to the Chart Industries, Inc. Amended and Restated 2005 Stock Incentive 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.
- 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.
- 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.
- No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
- 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.
- These securities, which are referred to by the Company as Leveraged Restricted Share Units (LRSUs), were granted on January 3, 2012 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. 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.
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