-----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, PzuSMElC6vQIa/6cDw14lGJrQxazsQpjNqKccPid0nC3qhg/SNp5XIvO3u5h3NUH W33k+aG1wO//vXoDBhaCpw== 0000898431-99-000150.txt : 19990817 0000898431-99-000150.hdr.sgml : 19990817 ACCESSION NUMBER: 0000898431-99-000150 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980630 FILED AS OF DATE: 19990816 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: 5 SEC ACT: SEC FILE NUMBER: 001-05828 FILM NUMBER: 99690614 BUSINESS ADDRESS: STREET 1: 1047 N PARK ROAD CITY: WYOMISSING STATE: PA ZIP: 19610-1339 BUSINESS PHONE: 6102082000 MAIL ADDRESS: STREET 1: 1047 N PARK ROAD CITY: WYOMISSING STATE: PA ZIP: 19610 COMPANY DATA: COMPANY CONFORMED NAME: ROSSIN PETER C CENTRAL INDEX KEY: 0001035307 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 5 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 5 1 FORM 5 --------------------------- FORM 5 --------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL 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 OMB APPROVAL OMB Number: 3235-0362 Expires: December 31, 2001 Estimated average burden hours per response...............1.0 / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). / / Form 3 Holdings Reported / / Form 4 Transactions Reported (Print or Type Response) 1. Name and Address of Reporting Person* Rossin Peter C. ---------------------------------------------- (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 June 1999 ------------------------ 5. If Amendment, Date of Original (Month/Year) ------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) / X / Director / X / 10% Owner / / Officer (Give Title) --------------- / / Other (Specify) --------------- Page 1 of 4 SEC 2270 (7-96) 7. 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 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/ Amount (A) or (D) Price Fiscal Year (Instr. 4) Day/ (Instr. 3 Year) and 4) Common Stock, $5.00 par value 09/30/98 J(1) 1,500 A D ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 09/30/98 J(1) 1,500 A I (2) ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 09/30/98 J(1) 3,000 D I (3) ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 12/30/98 J(1) 1,750 A D ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 12/30/98 J(1) 1,750 A I (2) ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 12/30/98 J(1) 3,500 D I (3) ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 03/31/99 J(1) 650 A D ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ==================================================================================================================================== ==================================================================================================================================== 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 4 SEC 2270 (7-96)
==================================================================================================================================== TABLE I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned (continued from Page 2) ==================================================================================================================================== 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/ Amount (A) or (D) Price Fiscal Year (Instr. 4) Day/ (Instr. 3 Year) and 4) Common Stock, $5.00 par value 03/31/99 J(1) 650 A I (2) ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 03/31/99 J(1) 1,300 D I (3) ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 06/30/99 J(1) 550 A D ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 06/30/99 J(1) 550 A I (2) ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 06/30/99 J(1) 1,100 D I (3) ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 2,005,450 D ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 5,450 I (2) ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- Common Stock, $5.00 par value 267,750 I (3) ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ------------------------ --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ------------------------ --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ------------------------ --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ------------------------ --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ----------------------- --------- ----- ----- ------- -------- ------- ---------- ------------ --------- ==================================================================================================================================== ====================================================================================================================================
Page 2a of 4 SEC 2270 (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 (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 Year (I)(Instr. 4) (Instr. 4) ------------ ------------- ------------- ------------ ------------ ------------- ------------- ------------ ------------ ------------- ------------- ------------ ------------ ------------- ------------- ------------ ------------ ------------- ------------- ------------ ------------ ------------- ------------- ------------ ==================================================================================================================================== ====================================================================================================================================
Page 3 of 4 SEC 2270 (7-96) Explanation of Responses: (1) Payment in kind of quarterly unitrust amount from the Peter C. and Ada E. Rossin Charitable Remainder Unitrust dated April 8, 1998 to Peter C. and Ada E. Rossin as current income beneficiaries. (2) Indirect ownership as spouse of transferee, Ada E. Rossin. (3) Indirect ownership as trustee of the Peter C. and Ada E. Rossin Charitable Remainder Unitrust dated April 8, 1998. ** 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. 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/ Peter C. Rossin --------------------------------------- Peter C. Rossin August 13, 1999 ----------------- Date Page 4 of 4 SEC 2270 (7-96) -----END PRIVACY-ENHANCED MESSAGE-----