-----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, QGW2p0c/gMOFjUvpPSWOkjetbE0WBqpi7SSSYr4NByeg3CeJR27hPLdp5nZwr2Sf NyfPmCa7besAYAkt6FEnYw== 0000898431-97-000330.txt : 19971211 0000898431-97-000330.hdr.sgml : 19971211 ACCESSION NUMBER: 0000898431-97-000330 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971130 FILED AS OF DATE: 19971210 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: 4 SEC ACT: SEC FILE NUMBER: 001-05828 FILM NUMBER: 97735434 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: 4 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 4 1 FORM 4 / ADA E. ROSSIN --------------------------- FORM 4 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). OMB Number: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response: 0.5 (Print or Type Response) 1. Name and Address of Reporting Person* Rossin Ada E. ---------------------------------------------- (Last) (First) (Middle) 621 Trotwood Circle ---------------------------------------------- (Street) Pittsburgh PA 15241 ---------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Carpenter Technology Corporation (CRS) ------------------------------------------------ 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### ------------------------ 4. Statement for Month/Year November 1997 ------------------------ 5. If Amendment, Date of Original (Month/Year) ------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) / / Director /X/ 10% Owner / / Officer (Give Title) --------------- / / Other (Specify) --------------- 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 SEC 1474 (7-96)
==================================================================================================================================== TABLE I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ==================================================================================================================================== 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action action or Disposed of (D) Securities Form: Indirect Date Code (Instr. 3, 4 and 5) Benefici- Direct (D) Beneficial (Instr. 8) ally Owned or In- Ownership --------- ----------- -------------------------- at End of direct (I) (Instr. 4) (Month/ Code V Amount (A) or (D) Price Month (Instr. 4) Day/ (Instr. 3 Year) and 4) Common Stock, $5.00 par value 11/21/97 G(1) 47,000 D 2,278,650 D ------------------------ -------- ----- ----- ------- -------- ------- ---------- --------- -------------- Pursuant to trusts created by an Irrevocable Deed of Trust Common Stock, $5.00 dated July 12, par value N/A 108,844 I 1989 ------------------------ -------- ----- ----- ------- -------- ------- ---------- --------- --------------- ==================================================================================================================================== ==================================================================================================================================== 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).
Page 2 of 3 SEC 1474 (7-96)
==================================================================================================================================== TABLE II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ==================================================================================================================================== 1. Title of 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date 7. Title and Derivative sion or action action Derivative Exercisable Amount of Security Exercise Date Code Securities and Under- (Instr. 3) Price of (Month/ (Instr. 8) Acquired (A) Expiration lying Deriva- Day/ or Disposed Date Securities tive Year) of (D)(Instr. (Month/Day/ (Instr. 3 Security 3, 4 and 5) Year) and 4) Date Expir- Amount or Exer- ation Number of Code V (A) (D) cisable Date Title Shares Not Applicable --------------- --------- -------- ------ ----- ------- ------- -------- -------- ------- ---------- ==================================================================================================================================== Table II (continued) ==================================================================================================================================== 8. Price of 9. Number of 10. Ownership 11. Nature of Derivative Derivative Form of Indirect Security Securities Derivative Beneficial (Instr. 5) Benefic- Security: Ownership ially Direct (D) (Instr. 4) Owned at or Indirect End of Month (I)(Instr. 4) (Instr. 4) ------------ ------------- ------------- ------------ ==================================================================================================================================== ====================================================================================================================================
Explanation of Responses: (1) Gift to irrevocable inter vivos trust for benefit of grandchildren of reporting person. ** 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. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. /s/ C. J. Queenan, Jr. ----------------------------------- C.J. Queenan, Jr. *as Attorney-in-Fact for Ada E.Rossin December 10, 1997 ------------------ Date Page 3 of 3 SEC 1474 (7-96)6 -----END PRIVACY-ENHANCED MESSAGE-----