-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DB89CgaMKVVLpKa0QOHprihnvYxBatNCCZZpsINu6gfVtKdglRQcgbIlKep50T86 pergFVrY/6NL92Y7eBeEwg== 0000898431-97-000075.txt : 19970312 0000898431-97-000075.hdr.sgml : 19970312 ACCESSION NUMBER: 0000898431-97-000075 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19970228 FILED AS OF DATE: 19970311 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARPENTER TECHNOLOGY CORP CENTRAL INDEX KEY: 0000017843 STANDARD INDUSTRIAL CLASSIFICATION: STEEL WORKS, BLAST FURNACES ROLLING MILLS (COKE OVENS) [3312] IRS NUMBER: 230458500 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-05828 FILM NUMBER: 97554684 BUSINESS ADDRESS: STREET 1: PO BOX 14662 CITY: READING STATE: PA ZIP: 19612-4662 BUSINESS PHONE: 2152082000 MAIL ADDRESS: STREET 1: P O BOX 14662 CITY: READING STATE: PA ZIP: 19612-4662 COMPANY DATA: COMPANY CONFORMED NAME: ROSSIN ADA E CENTRAL INDEX KEY: 0001035309 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 3/A BUSINESS ADDRESS: STREET 1: 621 TROTWOOD CIRCLE CITY: PITTSBURGH STATE: PA ZIP: 15241 BUSINESS PHONE: 4128332162 MAIL ADDRESS: STREET 1: 621 TROTWOOD CIRCLE CITY: PITSBURGH STATE: PA ZIP: 15241 3/A 1 FORM 3/A, ADA E. ROSSIN FORM 3/A U. S. SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person Rossin Ada E. =============================================================================== (Last) (First) (Middle) 621 Trotwood Circle =============================================================================== (Street) Pittsburgh PA 15241 ================================================================================ (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 2/28/97 ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### ================================================================================ 4. Issuer Name and Ticker or Trading Symbol Carpenter Technology Corporation (CRS) ================================================================================ 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ X ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ========================================================================= 6. If Amendment, Date of Original (Month/Day/Year) 3/10/97 ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [ X ] Form filed by One Reporting Person [ ] Form filed by More Than One Reporting Person ================================================================================ Page 1 of 3 FORM 3 (continued) Table I - Non-Derivative Securities Beneficially Owned ================================================================================ 1.Title of 2.Amount of Securities 3.Ownership 4. Nature of Indirect Security Beneficially Owned Form: Direct Beneficial Ownership (Instr. 4) (Instr. 4) (D) or (Instr. 5) Indirect (I) (Instr. 5) ================================================================================ Common Stock, $5.00 par value 2,325,650 shares D ================================================================================ ================================================================================ Common Stock, Pursuant to Trusts $5.00 par value 108,844 shares I created by an Irrevocable Deed of Trust dated July 12, 1989 ================================================================================ Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ============================================================================================= 1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) =========================================== Date Exercisable Expiration Date ===================== ============================================================================================= ===================== ============================================================================================= ===================== ============================================================================================= ============================================================================================= ============================================================================================= Page 2 of 3 ============================================================================================ FORM 3 (Continued) 3. Title and Amount of 4. Conversion 5. Ownership 6. Nature of Securities Underlying or Exercise Form of Indirect Derivative Security (Instr. 4) Price of Derivative Beneficial Derivative Security: Ownership Security Direct (D) (Instr. 5) ===================================== or Indirect Title Amount or Number (I) of Shares (Instr. 5) ============================================================================================ ============================================================================================ ============================================================================================ ============================================================================================ ============================================================================================
Explanation of Responses: ** 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 provided is insufficient, see Instruction 6 for procedure. /s/ C.J. Queenan, Jr. March 11, 1997 ==================================================== ======================== C.J. Queenan, Jr. Date *as Attorney-in-Fact for Ada E. Rossin Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----