Statement of Changes in Beneficial Ownership (4)
December 04 2019 - 5:33PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
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PRATT GREGORY A |
2. Issuer Name and Ticker or Trading Symbol
CARPENTER TECHNOLOGY CORP
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CRS
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
CARPENTER TECHNOLOGY CORPORATION, 1735 MARKET STREET, 15TH FL |
3. Date of Earliest Transaction
(MM/DD/YYYY)
12/2/2019 |
(Street)
PHILADELPHIA, PA 19103
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 12/2/2019 | | M | | 17528 | A | $40.42 | 22141 | D | |
Common Stock | 12/2/2019 | | S(1) | | 17202 | D | $52.2961 (2) | 4939 | D | |
Common Stock | 12/2/2019 | | S(1) | | 326 | D | $52.9563 (3) | 4613 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (right to buy) | $40.42 | 12/2/2019 | | M | | | 17528 | (4) | 2/5/2025 | Common Stock | 17528 | (5) | 175277 | D | |
Explanation of Responses: |
(1) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 25, 2019. |
(2) | The price reported is an average of the total transactions executed for the day, with the individual transactions ranging from a low of $51.92 per share to a high of $52.92 per share. |
(3) | The price reported is an average of the total transactions executed for the day, with the individual transactions ranging from a low of $52.95 per share to a high of $52.99 per share. |
(4) | 3/12ths of the Option Award was exercisable immediately upon grant and the remainder of the Option Award became exercisable in 1/9th increments on the first day of each month over 9 months beginning 3/1/15. |
(5) | The 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
PRATT GREGORY A CARPENTER TECHNOLOGY CORPORATION 1735 MARKET STREET, 15TH FL PHILADELPHIA, PA 19103 | X |
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Signatures
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James D. Dee/POA | | 12/4/2019 |
**Signature of Reporting Person | Date |
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