0001218733-12-000005.txt : 20120904
0001218733-12-000005.hdr.sgml : 20120903
20120904180831
ACCESSION NUMBER: 0001218733-12-000005
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120830
FILED AS OF DATE: 20120904
DATE AS OF CHANGE: 20120904
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: KAROL STEVEN E
CENTRAL INDEX KEY: 0001218733
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05828
FILM NUMBER: 121071914
MAIL ADDRESS:
STREET 1: C/O STOCKERYALE INC
STREET 2: 32 HAMPSHIRE RD
CITY: SALEM
STATE: NH
ZIP: 03079
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
edgar.xml
PRIMARY DOCUMENT
X0306
4
2012-08-30
0000017843
CARPENTER TECHNOLOGY CORP
CRS
0001218733
KAROL STEVEN E
C/O CARPENTER TECHNOLOGY CORPORATION
PO BOX 14662
READING
PA
19612
1
0
0
0
Common Stock
2012-08-30
4
J
0
1797428
0
D
181002
D
Common Stock
857124
I
Described in Explanation of Responses
See (1) below
(1) The reporting person is an affiliate of Watermill-Toolrock Enterprises, LLC, Watermill-Toolrock Partners, LP, and Watermill-Toolrock Partners II, LP (collectively, the "Watermill Funds"), which are affiliates of Toolrock Investments, LLC ("Toolrock"). In connection with the acquisition of Latrobe Specialty Metals, Inc. ("Latrobe") pursuant to an agreement and plan of merger entered into by the Issuer on June 20, 2011 (the "Merger Agreement") and closed on February 29, 2012 (the "Closing Date"), Toolrock received 7,666,028 shares of the common stock of the Issuer in exchange for all of Toolrock's common and preferred shares of Latrobe. After the Closing Date, Toolrock conducted a pro-rata, in-kind distribution of its 7,666,028 shares of common stock of the Issuer to its members (the "Toolrock Distribution"). As a result of the Toolrock Distribution, the Watermill Funds, directly, and the reporting person, indirectly, was the beneficial owner of 2,835,554 shares of common stock of the Issuer. On August 30, 2012, pursuant to a registration statement filed and automatically effective on June 14, 2012, the Watermill Funds conducted an in-kind distribution of 2,304,785 shares of common stock of the Issuer to their respective members and partners (the "Watermill Distribution"). In the Watermill Distribution, (i) persons and entities not affiliated with the reporting person received 1,797,428 shares of common stock of the Issuer, (ii) the reporting person received 181,002 shares of common stock of the Issuer and (iii) HMK Enterprises, Inc. and SEK Limited Partnership, both affiliates of the reporting person, received an aggregate of 326,355 shares of common stock of the Issuer. Following the Watermill Distribution, the reporting person beneficially owns 1,038,126 shares of common stock of the Issuer, 181,002 of which are owned directly while the remaining 857,124 are owned indirectly.
James D. Dee/POA
2012-09-04