Statement of Changes in Beneficial Ownership (4)

Date : 10/30/2019 @ 5:14PM
Source : Edgar (US Regulatory)
Stock : Carpenter Technology Corp (CRS)
Quote : 53.52  -0.43 (-0.80%) @ 1:00AM
After Hours
Last Trade
Last $ 53.52 ◊ 0.00 (0.00%)

Statement of Changes in Beneficial Ownership (4)

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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OMB Number: 3235-0287
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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
                      

1. Name and Address of Reporting Person *

PRATT GREGORY A
2. Issuer Name and Ticker or Trading Symbol

CARPENTER TECHNOLOGY CORP [ CRS ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

CARPENTER TECHNOLOGY CORPORATION, 1735 MARKET STREET, 15TH FL
3. Date of Earliest Transaction (MM/DD/YYYY)

10/28/2019
(Street)

PHILADELPHIA, PA 19103
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock  10/28/2019    M    2010  A $35.92  6623  D 
 
Common Stock  10/28/2019    M    6664  A $34.50  13287  D 
 
Common Stock  10/28/2019    M    8854  A $40.42  22141  D 
 
Common Stock  10/28/2019    S(1)    17528  D $50.2978 (2) 4613  D 
 

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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
Director Stock Option (right to buy)  $35.92  10/28/2019    M        2010   10/11/2011  10/11/2020  Common Stock  2010   (3) 0  D 
 
Director Stock Options (right to buy)  $34.50  10/28/2019    M        6664   11/2/2016  11/2/2025  Common Stock  6664   (3) 0  D 
 
Employee Stock Options (right to buy)  $40.42  10/28/2019    M        8854    (4) 2/5/2025  Common Stock  8854   (5) 192805  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 $50.00 per share to a high of $50.63 per share.
(3)  The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors.
(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
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



Signatures
James D. Dee/POA 10/30/2019
**Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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