Filing Details
- Accession Number:
- 0001209191-11-022819
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-04-13 19:10:18
- Reporting Period:
- 2011-04-11
- Filing Date:
- 2011-04-13
- Accepted Time:
- 2011-04-13 19:10:18
- 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 | 2011-04-11 | 4,575 | $27.74 | 18,169 | No | 4 | M | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2011-04-11 | 4,575 | $53.51 | 13,594 | No | 4 | S | Direct | |
Common Stock, Par Value $0.01 Per Share | Disposition | 2011-04-11 | 1,282 | $54.12 | 12,312 | No | 4 | S | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | M | Direct | |
No | 4 | S | Direct | |
No | 4 | S | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to Buy) | Disposition | 2011-04-11 | 4,575 | $0.00 | 4,575 | $27.74 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
1,525 | 2017-08-02 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, Par Value $0.01 Per Share | 29,800 | Indirect | By spouse as Trustee for the Eileen M. Biehl Declaration of Trust |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Stock Option (Right to Buy) | $17.03 | 2020-01-04 | 8,250 | 8,250 | Direct | |
Common Stock | Stock Option (Right to Buy) | $30.95 | 2018-01-02 | 6,500 | 6,500 | Direct | |
Common Stock | Stock Option (Right to Buy) | $11.00 | 2019-01-02 | 4,875 | 4,875 | Direct | |
Common Stock | Stock Option (Right to Buy) | $36.45 | 2021-01-03 | 7,240 | 7,240 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2020-01-04 | 8,250 | 8,250 | Direct |
2018-01-02 | 6,500 | 6,500 | Direct |
2019-01-02 | 4,875 | 4,875 | Direct |
2021-01-03 | 7,240 | 7,240 | Direct |
Footnotes
- These securities were acquired pursuant to a prearranged trading plan adopted on March 11, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934.
- 6,194 and 2,840 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.
- These securities were sold pursuant to a prearranged trading plan adopted on March 11, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934.
- Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $53.15 - $53.69. 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.
- Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $53.61 - $54.15. 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.
- No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
- 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 exercised pursuant to a prearranged trading plan adopted on March 11, 2011, that is intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934.
- 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 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 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 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.