-----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, KVzBhOzKOzu82haaHzSghH0YXRzlk1msht+fFfhr5eNKKn/aDt5OWpfMaeVIyWDy a8EK8wtMCRqdeDWUV7Ts5g== 0000950116-97-002285.txt : 19971211 0000950116-97-002285.hdr.sgml : 19971211 ACCESSION NUMBER: 0000950116-97-002285 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971205 FILED AS OF DATE: 19971210 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TALLEY INDUSTRIES INC CENTRAL INDEX KEY: 0000096238 STANDARD INDUSTRIAL CLASSIFICATION: STEEL WORKS, BLAST FURNACES ROLLING MILLS (COKE OVENS) [3312] IRS NUMBER: 860180396 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 001-04778 FILM NUMBER: 97735951 BUSINESS ADDRESS: STREET 1: 2702 N 44TH ST, SUITE 100-A CITY: PHOENIX STATE: AZ ZIP: 85008 BUSINESS PHONE: 6029577711 COMPANY DATA: COMPANY CONFORMED NAME: CARPENTER TECHNOLOGY CORP CENTRAL INDEX KEY: 0000017843 STANDARD INDUSTRIAL CLASSIFICATION: STEEL WORKS, BLAST FURNACES ROLLING MILLS (COKE OVENS) [3312] OWNER IRS NUMBER: 230458500 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3 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 3 1 - ------ FORM 3 - ------ U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES File 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 - ------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Carpenter Technology Corporation -------------------------------------------------------------------- (Last) (First) (MI) 101 West Bern Street -------------------------------------------------------------------- (Street) Reading PA 19612 -------------------------------------------------------------------- (City) (State) (Zip) *If the Form is filed by more than one Reporting Table I -- Non-Derivative Securities Beneficially Owned Person, see Instruction 5(b)(v). 2. Date of Event Requiring Statement (Month/Day/Year) 12/05/97 - ------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) 23-0458500 - ------------------------------------------------------------------------------- 4. Issuer Name and Ticket or Trading Symbol Talley Industries, Inc. (NYSE: TAL) - ------------------------------------------------------------------------------- 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) --------------------------------------------------------------------------- 7. Individual or Joint/Group (Check applicable line) [ X ] Form filed by One Reporting Person ____ Form filed by More than One Reporting Person - ------------------------------------------------------------------------------- TABLE I - Non-Derivative Securities Beneficially Owned - -------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security | 2. Amount of Securities | 3. Ownership Form: | 4. Nature of Indirect Beneficial (Instr. 4) | Beneficially Owned | Direct (D) or Indirect | Ownership (Instr. 5) | (Instr. 4) | (I) (Instr. 5) | - ----------------------------------------------------------------------------------------------------------------------------------- Series A Convertible Preferred | 12,509 Shares | I | By Score Acquisition Corp., a Stock | | | wholly-owned subsidiary of Carpenter | | | Technology Corporation - ------------------------------------------------------------------------------------------------------------------------------------ Series B $1 Cumulative | 497,618 Shares | I | By Score Acquisition Corp., Convertible Preferred Stock | | | a wholly-owned subsidiary of | | | Carpenter Technology Corporation - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock | 10,777,195 Shares | I | By Score Acquisition Corp., a | | | wholly-owned subsidiary of | | | Carpenter Technology Corporation - ------------------------------------------------------------------------------------------------------------------------------------ | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | - -----------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a seperate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) (Over)
FORM 3 (continued) Table II -- Derivative Securities Benefically 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 - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- | | - --------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- 3. Title and Amount of Securities | 4. Conversion or Exercise | 5. Ownership Form of Derivative | 6. Nature of Indirect Underlying Derivative Security | Price of Derivative | Security: Direct (D) or | Beneficial Ownership (Instr. 4) | Security | Indirect (I) (Instr. 5) | (Instr. 5) - -----------------------------------------| | | | Ammount or | | | | Number of | | | Title | Shares | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- | | | | - ----------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: CARPENTER TECHNOLOGY CORPORATION By: /s/ John R. Welty 12/10/97 --- --------------------------------- -------- Name: John R. Welty Date Title: Vice President, General Counsel and Secretary ** 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.
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