SEC Form 4 · accession 0000017843-18-000012
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
May 4, 2018
Accepted (ET)
May 8, 2018 · 2:33 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 Stock | May 4, 2018 | M | 300 | $43.65 | A | 11,288 | D | |
| Common Stock | May 4, 2018 | M | 300 | $17.29 | A | 11,588 | D | |
| Common Stock | May 4, 2018 | M | 407 | $33.85 | A | 11,995 | D | |
| Common StockF1,F2 | May 4, 2018 | S | 1,007 | $54.9967 | D | 10,993 | D | |
| Common StockF3 | holding | — | — | — | 2,061 | 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 OptionF4 | $43.65 | May 4, 2018 | M | 100 | D | Jun 30, 2009 | Jun 30, 2018 | Common Stock | 100 | 0 | D |
| Employee Stock OptionF4 | $43.65 | May 4, 2018 | M | 100 | D | Jun 30, 2010 | Jun 30, 2018 | Common Stock | 100 | 0 | D |
| Employee Stock OptionF4 | $43.65 | May 4, 2018 | M | 100 | D | Jun 30, 2011 | Jun 30, 2018 | Common Stock | 100 | 0 | D |
| Employee Stock OptionF4 | $17.29 | May 4, 2018 | M | 100 | D | Jul 29, 2010 | Jul 29, 2019 | Common Stock | 100 | 0 | D |
| Employee Stock OptionF4 | $17.29 | May 4, 2018 | M | 100 | D | Jul 29, 2011 | Jul 29, 2019 | Common Stock | 100 | 0 | D |
| Employee Stock OptionF4 | $17.29 | May 4, 2018 | M | 100 | D | Jul 29, 2012 | Jul 29, 2019 | Common Stock | 100 | 0 | D |
| Employee Stock OptionF4 | $33.85 | May 4, 2018 | M | 136 | D | Aug 17, 2011 | Aug 17, 2020 | Common Stock | 136 | 0 | D |
| Employee Stock OptionF4 | $33.85 | May 4, 2018 | M | 136 | D | Aug 17, 2012 | Aug 17, 2020 | Common Stock | 136 | 0 | D |
| Employee Stock OptionF4 | $33.85 | May 4, 2018 | M | 135 | D | Aug 17, 2013 | Aug 17, 2020 | Common Stock | 135 | 0 | D |
Explanation of responses
- F1The price reported is an average of the total transactions executed for the day, with the individual transactions ranging from a low of $54.98 per share to a high of $55.02 per share.
- F2Includes shares acquired under the Carpenter Technology Corporation Dividend Reinvestment Program.
- F3Includes shares acquired under the Savings Plan of Carpenter Technology Corporation. The share balance under the Savings Plan of Carpenter Technology fluctuates due to rounding differences produced by the Plan's method of estimating shares.
- F4The 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.