SEC Form 4 · accession 0000017843-17-000011
CARPENTER TECHNOLOGY CORP · CRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steven E Karol
Director
Period of report
Oct 14, 2016
Accepted (ET)
Apr 4, 2017 · 3:55 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 StockF2 | Oct 14, 2016 | J | 21,446 | $37.80 | D | 364,553 | I | Held by Affiliates of Reporting Person |
| Common Stock | holding | — | — | — | 230,418 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Forfeiture of shares pursuant to Escrow Agreement entered into on February 29, 2012, in connection with the merger of Latrobe Specialty Metals, Inc. ("Latrobe") into the Issuer. The shares were forfeited in satisfaction of a claim made for equity interest in Latrobe as set forth in the Merger Agreement.
- F2Reflects forfeiture of escrow shares that were inadvertently not previously reported. The forfeiture was, however, reflected in the share balance of the reporting person's last form filed, which was based on the reporting person's records.