Sec Form 4 Filing - Webster Kenneth J @ CHART INDUSTRIES INC - 2017-02-15

Insider filing report for Changes in Beneficial Ownership
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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1. Name and Address of Reporting Person
Webster Kenneth J
2. Issuer Name and Ticker or Trading Symbol
CHART INDUSTRIES INC [ GTLS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner
X __ Officer (give title below) _____ Other (specify below)
Vice President and CFO
(Last) (First) (Middle)
ONE INFINITY CORPORATE CENTRE DRIVE
3. Date of Earliest Transaction (MM/DD/YY)
02/15/2017
(Street)
GARFIELD HEIGHTS, OH44125
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City) (State) (Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock, par value $0.01 per share ( 1 ) 02/15/2017 A 959 A $ 0 20,150 ( 2 ) D
Common Stock, par value $0.01 per share 02/15/2017 F 317 ( 3 ) D $ 39.78 19,833 ( 2 ) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 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
(MM/DD/YY)
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)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Stock Option (Right t o Buy) ( 4 ) $ 17.03 ( 5 ) 01/04/2020 Common Stock 965 965 ( 5 ) D
Stock Option (Right to Buy) ( 4 ) $ 36.45 ( 6 ) 01/03/2021 Common Stock 2,590 2,590 ( 6 ) D
Stock Option (Right to Buy) ( 4 ) $ 55.93 ( 7 ) 01/03/2022 Common Stock 1,520 1,520 ( 7 ) D
Stock Option (Right to Buy) ( 4 ) $ 68.21 ( 8 ) 01/02/2023 Common Stock 1,310 1,310 ( 8 ) D
Stock Option (Right to Buy) ( 4 ) $ 93.34 ( 9 ) 01/02/2024 Common Stock 1,200 1,200 ( 9 ) D
Stock Option (Right to Buy) ( 4 ) $ 34.27 ( 10 ) 01/02/2025 Common Stock 3,950 3,950 ( 10 ) D
Stock Option (Right to Buy) ( 4 ) $ 17.72 ( 11 ) 01/04/2026 Common Stock 8,690 8,690 ( 11 ) D
Stock Option (Right to Buy) ( 4 ) $ 36.93 ( 12 ) 01/03/2027 Common Stock 12,900 12,900 ( 12 ) D
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
Webster Kenneth J
ONE INFINITY CORPORATE CENTRE DRIVE
GARFIELD HEIGHTS, OH44125
Vice President and CFO
Signatures
/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. 02/17/2017
Signature of Reporting Person Date
Explanation of Responses:
( 1 )Represents performance units granted on January 2, 2014, under the Chart Industries, Inc. Amended and Restated 2009 Omnibus Equity Plan, that have vested and are paid out in shares of common stock.
( 2 )3,850, 3,900, 1,727 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.
( 3 )The reporting person surrendered 317 shares upon vesting of performance units, to satisfy tax withholding liabilities, in an exempt transaction under Rule 16b-3.
( 4 )No transaction is being reported on this line. Reported on a previously filed Form 4 or Form 5.
( 5 )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.
( 6 )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.
( 7 )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.
( 8 )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.
( 9 )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.
( 10 )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.
( 11 )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.
( 12 )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.

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