SEC Form 4 · accession 0000017843-17-000043
CARPENTER TECHNOLOGY CORP · CRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James D Dee
Officer — VP, Gen Counsel & Secretary
Period of report
Jul 31, 2017
Accepted (ET)
Aug 2, 2017 · 1:29 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 | Jul 31, 2017 | A | 2,474 | — | A | 29,695 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF2 | $40.43 | Jul 31, 2017 | A | 2,936 | A | Jul 31, 2018 | Jul 31, 2027 | Common Stock | 2,936 | 2,936 | D |
| Employee Stock OptionF2 | $40.43 | Jul 31, 2017 | A | 2,936 | A | Jul 31, 2019 | Jul 31, 2027 | Common Stock | 2,936 | 2,936 | D |
| Employee Stock OptionF2 | $40.43 | Jul 31, 2017 | A | 2,936 | A | Jul 31, 2020 | Jul 31, 2027 | Common Stock | 2,936 | 2,936 | 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.