SEC Form 4 · accession 0000017843-18-000039
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
Aug 3, 2018
Accepted (ET)
Aug 7, 2018 · 6:49 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 | Aug 3, 2018 | F | 967 | $58.73 | D | 36,427 | D | |
| Common StockF2 | Aug 6, 2018 | A | 2,036 | — | A | 38,463 | 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 | $58.94 | Aug 6, 2018 | A | 1,426 | A | Aug 6, 2019 | Aug 6, 2028 | Common Stock | 1,426 | 1,426 | D |
| Employee Stock OptionsF3 | $58.94 | Aug 6, 2018 | A | 1,425 | A | Aug 6, 2020 | Aug 6, 2028 | Common Stock | 1,425 | 1,425 | D |
| Employee Stock OptionsF3 | $58.94 | Aug 6, 2018 | A | 1,425 | A | Aug 6, 2021 | Aug 6, 2028 | Common Stock | 1,425 | 1,425 | D |
Explanation of responses
- F1In connection with the vesting of previously reported restricted stock units.
- F2The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.
- 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.