-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, REEMVQ4Ix48xP5A2+nIIBvN+dFysSOR1sRge70UBGLP745ZefY1L7pZc/0IS6z6Y Gc3ucXaWaVGRH5gex5Z2bw== 0000950152-97-001192.txt : 19970222 0000950152-97-001192.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950152-97-001192 CONFORMED SUBMISSION TYPE: SC 13G/A CONFIRMING COPY: PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970220 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHART INDUSTRIES INC CENTRAL INDEX KEY: 0000892553 STANDARD INDUSTRIAL CLASSIFICATION: FABRICATED PLATE WORK (BOILER SHOPS) [3443] IRS NUMBER: 341712937 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43584 FILM NUMBER: 00000000 BUSINESS ADDRESS: STREET 1: 35555 CURTIS BLVD CITY: EASTLAKE STATE: OH ZIP: 44095 BUSINESS PHONE: 2169462525 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HOLMES ARTHUR S CENTRAL INDEX KEY: 0000900395 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 35555 CURTIS BLVD CITY: EASTLAKE STATE: OH ZIP: 44059 BUSINESS PHONE: 2169462525 SC 13G/A 1 CHART INDUSTRIES/ARTHUR HOLMES 1 ----------------------------- | OMB APPROVAL | |----------------------------| | OMB Number: 3235-0145 | | Expires: August 31, 1991 | | Estimated average burden | | hours per response...14.90 | ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4)* CHART INDUSTRIES, INC. ----------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 Par Value ----------------------------------------------------------------------------- (Title of Class of Securities) 16115Q 10 0 ----------------------------------------------------------------------------- (Cusip Number) Check the following if a fee is being paid with this statement ___. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 5 2 SCHEDULE 13G CUSIP NO. 16115Q-10-0 PAGE 2 OF 5 PAGES - ----------------------------------------------------------------------------------------------------------- | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Arthur S. Holmes | |-----|---------------------------------------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | ---- | | | Not Applicable (b) [ ] | | | ---- | |-----|---------------------------------------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |-----|---------------------------------------------------------------------------------------------------| | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | United States | | | | |-----|---------------------------------------------------------------------------------------------------| | NUMBER OF | 5 | SOLE VOTING POWER | | | | | | SHARES | | 1,771,158 | | |-------|-----------------------------------------------------------------| | BENEFICIALLY | 6 | SHARED VOTING POWER | | | | | | OWNED BY | | 1,769,560 | | |-------|-----------------------------------------------------------------| | EACH | 7 | SOLE DISPOSITIVE POWER | | | | | | REPORTING | | 1,771,158 | | | | | | PERSON |-------|-----------------------------------------------------------------| | | 8 | SHARED DISPOSITIVE POWER | | WITH | | | | | | 1,769,560 | | | | | |---------------------------------------------------------------------------------------------------------| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 3,540,718 | |-----|---------------------------------------------------------------------------------------------------| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN | | | SHARES* [ ] | | | Not Applicable ---- | |-----|---------------------------------------------------------------------------------------------------| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | | | | | | 34.7% | |-----|---------------------------------------------------------------------------------------------------| | 12 | TYPE OF REPORTING PERSON* | | | | | | IN | - -----------------------------------------------------------------------------------------------------------
3 CHART INDUSTRIES, INC. ---------------------- Schedule 13G of Arthur S. Holmes ITEM 1(a). NAME OF ISSUER: Chart Industries, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 35555 Curtis Boulevard, Eastlake, Ohio 44095 ITEM 2(a). NAME OF PERSON FILING: Arthur S. Holmes ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 35555 Curtis Boulevard, Eastlake, Ohio 44095 ITEM 2(c). CITIZENSHIP: United States ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $0.01 par value ITEM 2(e). CUSIP NUMBER: 16115Q 10 0 ITEM 3. Not Applicable Page 3 of 5 pages 4 ITEM 4. OWNERSHIP. (a) 3,540,718 shares of Common Stock (b) 34.7% (c) (i) 1,771,158 (ii) 1,769,560 (iii) 1,771,158 (iv) 1,769,560 NOTE: On December 23, 1993 Arthur S. Holmes transferred 1,769,560 shares of Common Stock to the Christine H. Holmes Trust, Christine H. Holmes, Trustee, which shares are listed pursuant to Item 4(c)(ii) and (iv) above. In addition, Arthur S. Holmes and his brother, Charles S. Holmes, have entered into a Cross Purchase Agreement, whereby each has granted the other the right to purchase all or a portion of his then outstanding shares of Common Stock of the Company upon death. The purchase price for such shares will be the higher of the then current market price for the Common Stock or a price determined by appraisal. As of December 31, 1996, Charles S. Holmes beneficially owned 1,252,905 shares of Common Stock. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Stock subject to this Schedule 13G. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY REPORTED ON BY THE PARENT HOLDING COMPANY. Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not Applicable Page 4 of 5 pages 5 ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not Applicable ITEM 10. CERTIFICATION. Not Applicable After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 6, 1997 - ---------------------------- Date /s/ Arthur S. Holmes - ---------------------------- Signature Arthur S. Holmes - ---------------------------- Name Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----