SEC Form 4 · accession 0000017843-18-000015
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
May 15, 2018
Accepted (ET)
May 16, 2018 · 4:28 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 | May 15, 2018 | M | 4,952 | $34.77 | A | 34,767 | D | |
| Common StockF2,F1 | May 15, 2018 | S | 3,684 | $58.33 | D | 31,083 | 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 OptionsF3 | $34.77 | May 15, 2018 | M | 1,651 | D | Sep 13, 2011 | Sep 13, 2020 | Common Stock | 1,651 | 0 | D |
| Employee Stock OptionsF3 | $34.77 | May 15, 2018 | M | 1,651 | D | Sep 13, 2012 | Sep 13, 2020 | Common Stock | 1,651 | 0 | D |
| Employee Stock OptionsF3 | $34.77 | May 15, 2018 | M | 1,650 | D | Sep 13, 2013 | Sep 13, 2020 | Common Stock | 1,650 | 0 | D |
Explanation of responses
- F1Includes shares acquired under the Carpenter Technology Corporation Dividend Reinvestment Program.
- F2The price reported is an average of the total transactions executed for the day, with the individual transactions ranging from a low of $58.31 per share to a high of $58.33 per share.
- F3The 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.