SEC FORM 3

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Ducote Douglas A Jr.

(Last)

(First)

(Middle)

C/O CHART INDUSTRIES, INC.

3055 TORRINGTON DRIVE

(Street)

BALL GROUND

30107

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
05/12/2021

3. Issuer Name and Ticker or Trading Symbol
CHART INDUSTRIES INC [ GTLS ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Technology Officer

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common stock, par value $0.01 per share	6,011⁽¹⁾	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Option (Right to Buy)	⁽²⁾	01/03/2022	Common stock, par value $0.01 per share	2,250	55.93	D
Stock Option (Right to Buy)	⁽³⁾	01/02/2028	Common stock, par value $0.01 per share	688	48.39	D
Stock Option (Right to Buy)	⁽⁴⁾	01/02/2029	Common stock, par value $0.01 per share	1,025	65.95	D
Stock Option (Right to Buy)	⁽⁵⁾	01/02/2030	Common stock, par value $0.01 per share	1,725	68.8	D
Stock Option (Right to Buy)	⁽⁶⁾	01/04/2031	Common stock, par value $0.01 per share	900	118.41	D

Explanation of Responses:

1. 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).

2. 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.

3. 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.

4. 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.

5. 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.

6. 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

	/s/ Douglas A. Ducote, Jr., by John F. Griffee IV, his attorney-in-fact	05/21/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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