0001209191-14-037479.txt : 20140528
0001209191-14-037479.hdr.sgml : 20140528
20140528182358
ACCESSION NUMBER: 0001209191-14-037479
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20140523
FILED AS OF DATE: 20140528
DATE AS OF CHANGE: 20140528
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
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: 14873844
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1600
CITY: DALLAS
STATE: TX
ZIP: 75201
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2014-05-23
0
0000017843
CARPENTER TECHNOLOGY CORP
CRS
0000938201
HICKS THOMAS O
CARPENTER TECHNOLOGY CORPORATION
PO BOX 14662
READING
PA
19612
1
0
0
0
Common Stock
2014-05-23
4
S
0
16967
63.609
D
18421
I
See Footnote
Common Stock
2014-05-23
4
S
0
16966
63.609
D
18422
I
See Footnote
Common Stock
2014-05-23
4
S
0
16967
63.609
D
18421
I
See Footnote
Common Stock
2014-05-23
4
S
0
16967
63.609
D
18421
I
See Footnote
Common Stock
2014-05-23
4
S
0
16967
63.609
D
25498
I
See Footnote
Common Stock
2014-05-23
4
S
0
16967
63.609
D
32576
I
See Footnote
Common Stock
2014-05-27
4
S
0
4576
63.2751
D
13845
I
See Footnote
Common Stock
2014-05-27
4
S
0
4577
63.2751
D
13845
I
See Footnote
Common Stock
2014-05-27
4
S
0
4576
63.2751
D
13845
I
See Footnote
Common Stock
2014-05-27
4
S
0
4576
63.2751
D
13845
I
See Footnote
Common Stock
2014-05-27
4
S
0
8885
63.2751
D
16613
I
See Footnote
Common Stock
2014-05-27
4
S
0
13193
63.2751
D
19383
I
See Footnote
Common Stock
81781
I
See Footnote
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.15 to $64.26. Thomas O. Hicks (the "Principal") will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 18,421 shares of Common Stock held indirectly through TOH Jr. Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.15 to $64.26. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 18,422 shares of Common Stock held indirectly through MHH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.15 to $64.26. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 18,422 shares of Common Stock held indirectly through JAH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.15 to $64.26. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 18,422 shares of Common Stock held indirectly through RBH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.15 to $64.26. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 25,498 shares of Common Stock held indirectly through WCH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.15 to $64.26. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 32,576 shares of Common Stock held indirectly through CFH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.065 to $63.52. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 13,845 shares of Common Stock held indirectly through TOH Jr. Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.065 to $63.52. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 13,845 shares of Common Stock held indirectly through MHH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.065 to $63.52. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 13,845 shares of Common Stock held indirectly through JAH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.065 to $63.52. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 13,845 shares of Common Stock held indirectly through RBH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.065 to $63.52. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 16,613 shares of Common Stock held indirectly through WCH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The sales price represents a weighted average of the sales prices for multiple transactions on the same trading day. The range of sales prices was $63.065 to $63.52. The Principal will provide upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold at each separate price.
The Principal may be deemed to beneficially own 19,383 shares of Common Stock held indirectly through CFH Ventures Ltd. The Principal disclaims beneficial 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 beneficial 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.
The Principal may be deemed to beneficially own 81,781 shares of Common Stock held indirectly through shares held by HHEP-Latrobe LP. The Principal disclaims beneficial 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 beneficial 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
2014-05-28