SEC Form 4 · accession 0000017843-18-000040
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
Aug 3, 2018
Accepted (ET)
Aug 7, 2018 · 6:50 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 | 526 | $58.73 | D | 13,576 | D | |
| Common StockF2 | Aug 6, 2018 | A | 764 | — | A | 14,340 | D | |
| Common StockF3 | holding | — | — | — | 2,080 | I | By 401(k) Savings 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 OptionsF4 | $58.94 | Aug 6, 2018 | A | 535 | A | Aug 6, 2019 | Aug 6, 2028 | Common Stock | 535 | 535 | D |
| Employee Stock OptionsF4 | $58.94 | Aug 6, 2018 | A | 535 | A | Aug 6, 2020 | Aug 6, 2028 | Common Stock | 535 | 535 | D |
| Employee Stock OptionsF4 | $58.94 | Aug 6, 2018 | A | 534 | A | Aug 6, 2021 | Aug 6, 2028 | Common Stock | 534 | 534 | D |
Explanation of responses
- F1In connection with the vesting of previously reported restricted shares.
- F2The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.
- 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.