UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (Right to Buy) (1) | Â (1) | 11/23/2015 | Common Stock | 24,099 (2) | $ 6.41 (2) | D | Â |
Stock Option (Right to Buy) (3) | Â (3) | 04/27/2016 | Common Stock | 3,184 (2) | $ 11.98 (2) | D | Â |
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/ Arthur C. Hall III as attorney-in-fact for James H. Hoppel, Jr. under Power of Attorney | 07/25/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 November 23, 2005 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 underlying securities is based on a 10.1088-for-one adjustment for the shares underlying options, which will occur immediately prior to the closing of the Company's initial public offering and assumes a pricing at the $20.00 mid-point of an estimated price range of between $19.00 and $21.00. This adjustment ratio, and consequently the number of underlying securities, is subject to change upon pricing of the Company's initial public offering. A $1.00 increase in the offering price to $21.00 per share would result in an increase of the cumulative adjustment ratio to approximately 10.1301-for-one, and a $1.00 decrease in the offering price to $19.00 per share would result in a reduction of the cumulative adjustment ratio to approximately 10.0853-for-one. The exercise price of the derivative security will be adjusted in accordance with the adjustment ratio. The final options (if different than reported herein) will be reflected in future filings made by the reporting person. |
(3) | 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. |