SEC Form 4 · accession 0000017843-16-000088
CARPENTER TECHNOLOGY CORP · CRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Lain
Officer — VP-Controller, Chf Acctg Ofcr
Period of report
Aug 1, 2016
Accepted (ET)
Aug 3, 2016 · 6:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000017843
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 1, 2016 | A | 5,718 | — | A | 9,246 | D | |
| Common Stock | holding | — | — | — | 1,845 | I | By 401(k) Plan |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Options (Right to Buy)F2 | $39.02 | Aug 1, 2016 | A | 1,271 | A | Aug 1, 2017 | Aug 1, 2026 | Common Stock | 1,271 | 1,271 | D |
| Employee Stock Option (Right to Buy)F2 | $39.02 | Aug 1, 2016 | A | 1,270 | A | Aug 1, 2018 | Aug 1, 2026 | Common Stock | 1,270 | 1,270 | D |
| Employee Stock Option (Right to Buy)F2 | $39.02 | Aug 1, 2016 | A | 1,270 | A | Aug 1, 2019 | Aug 1, 2026 | Common Stock | 1,270 | 1,270 | D |
| Employee Stock Option (Right to Buy)F2 | $39.02 | Aug 1, 2016 | A | 34,097 | A | Aug 1, 2019 | Aug 1, 2026 | Common Stock | 34,097 | 34,097 | D |
Explanation of responses
- F1The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.
- F2The reporting person was granted an option to buy shares of common stock under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.