0001209191-13-012344.txt : 20130228 0001209191-13-012344.hdr.sgml : 20130228 20130228150349 ACCESSION NUMBER: 0001209191-13-012344 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130226 FILED AS OF DATE: 20130228 DATE AS OF CHANGE: 20130228 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HICKS THOMAS O CENTRAL INDEX KEY: 0000938201 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05828 FILM NUMBER: 13651401 MAIL ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75201 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 2 MERIDIAN BOULEVARD CITY: WYOMISSING STATE: PA ZIP: 19612 BUSINESS PHONE: 6102082000 MAIL ADDRESS: STREET 1: PO BOX 14662 CITY: READING STATE: PA ZIP: 19612-4662 4 1 c494200_4x0.xml MAIN DOCUMENT DESCRIPTION X0306 4 2013-02-26 0000017843 CARPENTER TECHNOLOGY CORP CRS 0000938201 HICKS THOMAS O C/O CARPENTER TECHNOLOGY CORPORATION PO BOX 14662 READING PA 19612 1 0 0 0 Common Stock 2013-02-26 4 S 0 340104 D 154041 D Common Stock 836992 I See Footnote On February 26, 2013, in a privately negotiated transaction, Thomas O. Hicks (the "Principal") contributed 340,104 shares of Common Stock owned by him to a partnership in exchange for equity interests in the partnership. The Principal may be deemed to beneficially own 836,992 shares of Common Stock held indirectly. The Principal disclaims benefial ownership of these shares of Common Stock except to the extent of his pecuniary interest therein, and the filing of this Form 4 shall not be deemed an admission that the Principal is the benefial owner of the securities for purposes of Section 13 or Section 16 of the Securities Exchange Act of 1933, as amended, or for any other purpose. /s/ Thomas O. Hicks 2013-02-28