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Filing Details

Accession Number:: 0001209191-13-039731
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2013-08-07 17:18:01
Reporting Period:: 2013-03-15

Filing Date:: 2013-08-07
Accepted Time:: 2013-08-07 17:18:01
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
1266362	F Samuel Thomas	One Infinity Corporate Centre Drive Garfield Heights OH 44125	Chairman, Ceo And President	Yes	Yes	No	No

Reported Non-Derivative Transactions

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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	Disposition	2013-03-15	1,250	$0.00	40,750	No	4	G	Indirect	By spouse
Common Stock, Par Value $0.01 Per Share	Disposition	2013-05-29	10,000	$0.00	30,750	No	4	G	Indirect	By spouse
Common Stock, Par Value $0.01 Per Share	Disposition	2013-08-05	34,200	$114.64	22,585	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	G	Indirect	By spouse
No	4	G	Indirect	By spouse
No	4	S	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock, Par Value $0.01 Per Share	45,620	Indirect	By Trusts
Common Stock, Par Value $0.01 Per Share	34,000	Indirect	By Trust
Common Stock, Par Value $0.01 Per Share	54,000	Indirect	By Trust
Common Stock, Par Value $0.01 Per Share	46,000	Indirect	By Trust

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Stock Option (Right to Buy)	$27.74	2017-08-02	18,300	18,300	Direct
Common Stock	Stock Option (Right to Buy)	$30.95	2018-01-02	18,950	18,950	Direct
Common Stock	Stock Option (Right to Buy)	$11.00	2019-01-02	50,000	50,000	Direct
Common Stock	Stock Option (Right to Buy)	$17.03	2020-01-04	47,170	47,170	Direct
Common Stock	Stock Option (Right to Buy)	$36.45	2021-01-03	33,070	33,070	Direct
Common Stock	Stock Option (Right to Buy)	$55.93	2022-01-03	21,410	21,410	Direct
Common Stock	Restricted Stock Unit	$0.00	2015-01-03	8,840	8,840	Direct
Common Stock	Stock Option (Right to Buy)	$68.21	2023-01-02	19,470	19,470	Direct
Common Stock	Restricted Stock Unit	$0.00	2016-01-02	11,650	11,650	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2017-08-02	18,300	18,300	Direct
2018-01-02	18,950	18,950	Direct
2019-01-02	50,000	50,000	Direct
2020-01-04	47,170	47,170	Direct
2021-01-03	33,070	33,070	Direct
2022-01-03	21,410	21,410	Direct
2015-01-03	8,840	8,840	Direct
2023-01-02	19,470	19,470	Direct
2016-01-02	11,650	11,650	Direct

Footnotes

These securities were sold pursuant to a prearranged trading plan adopted on May 29, 2013, that is intended to comply with Rule 10b5-1(c) under the Securities and Exchange Act of 1934.
Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $113.86 - $115.88. The reporting person hereby undertakes, upon request by the Commission staff, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.
4,331 shares of the total amount beneficially owned were granted on January 3, 2011, pursuant to a restricted stock award agreement 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 award vests in equal installments on each of the first three anniversaries of the date of grant.
No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
Held by trusts for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trusts, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trusts' shares for purposes of Section 16 or for any other purpose.
Held by trust, with spouse as trustee, for the benefit of the reporting person's family member. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose.
Held by trust for the benefit of the reporting person's family members, including his spouse. The reporting person disclaims beneficial ownership of the shares held by the trust, and this report should not be deemed an admission that the reporting person is the beneficial owner of the trust's shares for purposes of Section 16 or for any other purpose.
Held by trust for the benefit of the reporting person's family members, including the reporting person.
These options were granted on August 2, 2007 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, 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.
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.
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.
These securities, which are referred to by the Company as Leveraged Restricted Share Units (LRSUs), were granted on January 2, 2013 pursuant to a Leveraged Restricted Share Unit Agreement under 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 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.