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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 | ||||||||
Stock Option (Right to Buy) | $ 12.16 | 04/27/2006 | A | 3,137 | (1) | 04/27/2016 | Common Stock | 3,137 | $ 0 | 3,137 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hoppel James H JR ONE INFINITY CORPORATE CENTRE DR. SUITE 300 GARFIELD HEIGHTS, OH 44125 |
Chief Accounting Officer |
/s/ James H. Hoppel, Jr., by Arthur C. Hall III, his attorney-in-fact pursuant to Power of Attorney dated June 29, 2006 on file with the Commission | 07/27/2006 | |
**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 options were granted on April 27, 2006 pursuant to the terms of the Chart Industries Inc. Amended and Restated 2005 Stock Incentive Plan. The options vest annually in equal installments over five years based on continued service. |
(2) | The number of derivative securities reported on this Form 4 represents the total number of options issued to the reporting person on April 27, 2006, as adjusted in accordance with a 9.95928-for-one stock adjustment for the shares underlying options, which is occuring immediately prior to to the closing of the Company's initial public offering. In addition to these options, the reporting person also owns options granted on November 23, 2005, that were adjusted at the 9.95928-for-one adjustment ratio to 23,738 shares at an exercise price of $6.50 per share. The November 23, 2005 and April 27, 2006 options were previously reported on the reporting person's Form 3, dated July 25, 2006, based on an assumed adjustment ratio which corresponded to the mid-point of an estimated price range of the initial public offering which was slightly higher than the actual adjustment ratio, as determined subsequent to the filing of the Form 3. |