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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KRABLIN STEVEN W C/O CHART INDUSTRIES, INC. ONE INFINITY CORPORATE CENTRE DRIVE GARFIELD HEIGHTS, OH 44125 |
X |
/s/ Steven W. Krablin, by Arthur C. Hall III, his attorney-in-fact | 10/04/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These securities were granted on October 2, 2017, in an exempt transaction, pursuant to the terms of stock award agreements under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan and the 2017 Omnibus Equity Plan, and deferred under the stock award agreements until a future date. |
(2) | Includes 14,369 shares which have been deferred. 5,782 of the shares were granted by the Issuer under the Amended and Restated Chart Industries, Inc. 2005 Stock Incentive Plan, 8,556 of the shares were granted by the Issuer under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan, and 31 of the shares were granted by the Issuer under the Chart Industries, Inc. 2017 Omnibus Equity Plan. |