SEC Form 5 · accession 0001268355-15-000001
CARPENTER TECHNOLOGY CORP · CRS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Peter N Stephans
Director
Period of report
Jun 30, 2015
Accepted (ET)
Aug 14, 2015 · 3:09 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 | Dec 22, 2014 | G | 12,621 | $0.00 | D | 25,675 | I | By spouse in trust |
| Common StockF1 | Dec 22, 2014 | G | 12,621 | $0.00 | A | 12,621 | I | By Foundation |
| Common StockF1 | May 4, 2015 | G | 281 | $0.00 | D | 12,340 | I | By Foundation |
| Common StockF2 | holding | — | — | — | 52,086 | D | ||
| Common StockF3 | holding | — | — | — | 10,005 | I | Spouse of Trustee | |
| Common StockF3 | holding | — | — | — | 10,005 | I | Spouse of Trustee |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Director Stock UnitsF6,F4,F5 | — | holding | — | — | — | — | — | Common Stock | 26,649 | 26,649 | D |
Explanation of responses
- F1These shares are held by the Peter N. and Joan Rossin Stephans Foundation, on which reporting person is a trustee.
- F2These shares are held in the Peter N. Stephans Revocable Trust, dated March 15, 2004, Peter N. Stephans and Joan R. Stephans, Trustees
- F3These shares are held in the Irrevocable Deed of Trust of Peter C. Rossin and Ada E. Rossin, dated July 12, 1989, Ada E. Rossin and Joan Elizabeth Rossin Stephans, Trustees, for the benefit of the reporting person's children. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16, or for any other purpose.
- F4Converts to common stock on a 1-for-1 basis
- F5Payable upon the later of separation of service or a specified date or event
- F6Includes dividend equivalents not previously reported.