Initial Statement of Beneficial Ownership (3)
June 21 2013 - 11:49AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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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
*
LAIN TIMOTHY
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2. Date of Event Requiring Statement (MM/DD/YYYY)
6/13/2013
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3. Issuer Name
and
Ticker or Trading Symbol
CARPENTER TECHNOLOGY CORP [CRS]
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(Last)
(First)
(Middle)
C/O CARPENTER TECHNOLOGY CORPORATION, PO BOX 14662
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
VP-Controller, Chf Acctg Ofcr /
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(Street)
READING, PA 19612
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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968
(1)
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D
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Common Stock
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1588.667
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I
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By 401(k) Plan
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock Option (Right to Buy)
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(2)
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6/30/2018
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Common Stock
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300
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$43.65
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D
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Employee Stock Option (Right to Buy)
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(3)
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7/29/2019
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Common Stock
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300
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$17.29
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D
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Employee Stock Option (Right to Buy)
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(4)
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8/17/2020
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Common Stock
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407
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$33.85
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D
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Employee Stock Option (Right to Buy)
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(5)
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7/28/2021
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Common Stock
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225
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$56.52
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D
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Employee Stock Option (Right to Buy)
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(6)
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8/27/2022
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Common Stock
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252
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$48.85
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D
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Explanation of Responses:
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(
1)
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The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.
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(
2)
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One-third of this award became exercisable on each of 06/30/09, 06/30/10 and 06/30/11.
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(
3)
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One-third of this award became exercisable on each of 07/29/10, 07/29/11 and 07/29/12
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(
4)
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One-third of this award became exercisable on each of 08/17/11 and 08/17/12; one-third will become exercisable on 08/17/13.
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(
5)
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One-third of this award became exercisable on 07/28/12; one-third will become exercisable on each of 07/28/13 and 07/28/14.
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(
6)
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One-third of this award will become exercisable on each of 08/27/13, 08/27/14 and 08/27/15.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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LAIN TIMOTHY
C/O CARPENTER TECHNOLOGY CORPORATION
PO BOX 14662
READING, PA 19612
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VP-Controller, Chf Acctg Ofcr
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Signatures
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/s/Timothy Lain
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6/21/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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