Douglas A. Ducote Jr. - May 12, 2021 Form 3 Insider Report for CHART INDUSTRIES INC (GTLS)

Role
Chief Technology Officer
Signature
/s/ Douglas A. Ducote, Jr., by John F. Griffee IV, his attorney-in-fact
Stock symbol
GTLS
Transactions as of
May 12, 2021
Transactions value $
$0
Form type
3
Date filed
5/21/2021, 11:24 AM
Next filing
Sep 9, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding GTLS Common stock, par value $0.01 per share 6.01K May 12, 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
holding GTLS Stock Option (Right to Buy) May 12, 2021 Common stock, par value $0.01 per share 2.25K $55.93 Direct F2
holding GTLS Stock Option (Right to Buy) May 12, 2021 Common stock, par value $0.01 per share 688 $48.39 Direct F3
holding GTLS Stock Option (Right to Buy) May 12, 2021 Common stock, par value $0.01 per share 1.03K $65.95 Direct F4
holding GTLS Stock Option (Right to Buy) May 12, 2021 Common stock, par value $0.01 per share 1.73K $68.80 Direct F5
holding GTLS Stock Option (Right to Buy) May 12, 2021 Common stock, par value $0.01 per share 900 $118.41 Direct F6
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Total includes 217 restricted stock units ("RSUs") granted on January 2, 2019, 830 RSUs granted on November 20, 2019, 481 RSUs granted on January 2, 2020, 1,179 RSUs granted on March 13, 2020, 476 RSUs granted on January 4, 2021 and 1,885 RSUs granted on February 16, 2021 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in exempt transactions under Rule 16b-3. Shares of common stock will be issued with respect to one-third (1/3) of the total number of shares on each of the three anniversaries of the date of grant, subject to tax withholding requirements, except with regard to the November 20, 2019 RSU grant, which vests in full on November 20, 2022 (the third anniversary of the date of grant).
F2 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. These options are fully vested.
F3 These options were granted on January 2, 2018 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. These 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.
F4 These options were granted on January 2, 2019 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. These 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.
F5 These options were granted on January 2, 2020 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. These 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.
F6 These options were granted on January 4, 2021 pursuant to the Chart Industries, Inc. 2017 Omnibus Equity Plan in an exempt transaction under Rule 16b-3. These 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.

Remarks:

Exhibit List: Exhibit 24.1 -- Power of Attorney