-----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, Qn17bxUv4hh83eOezfiO8edkyQ+fiLB/I0zZQsiePi1lai/fanD4LXCYcIW3ilwv 2sysrzV1f3dipwXt2LB1Gg== 0000950112-96-000124.txt : 19960124 0000950112-96-000124.hdr.sgml : 19960124 ACCESSION NUMBER: 0000950112-96-000124 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19960123 SROS: NYSE SROS: PSE GROUP MEMBERS: SMITH BARNEY HOLDINGS INC. GROUP MEMBERS: SMITH BARNEY INC. GROUP MEMBERS: TRAVELERS GROUP INC 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: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-34049 FILM NUMBER: 96506372 BUSINESS ADDRESS: STREET 1: 101 W BERN ST CITY: READING STATE: PA ZIP: 19612 BUSINESS PHONE: 2152082000 MAIL ADDRESS: STREET 1: P O BOX 14662 CITY: READING STATE: PA ZIP: 19612-4662 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRAVELERS GROUP INC CENTRAL INDEX KEY: 0000831001 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] IRS NUMBER: 521568099 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 388 GREENWICH ST STREET 2: LEGAL DEPT 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 2128164963 MAIL ADDRESS: STREET 1: 388 GREENWICH ST STREET 2: LEGAL DEPT 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10013 FORMER COMPANY: FORMER CONFORMED NAME: TRAVELERS INC DATE OF NAME CHANGE: 19940103 FORMER COMPANY: FORMER CONFORMED NAME: PRIMERICA CORP /NEW/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: COMMERCIAL CREDIT GROUP INC DATE OF NAME CHANGE: 19890102 SC 13G/A 1 THE TRAVELERS INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) -- CARPENTER TECHNOLOGY CORPORATION --------------------------------------- (Name of Issuer) Common Stock --------------------------------------- (Title of Class of Securities) 144285-10-3 ------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages(s)) SCHEDULE 13G CUSIP NO. 144285-10-3 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Smith Barney Inc. S.S. or I.R.S Identification 13-1912900 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 722,287 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 722,287 - ------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 722,287 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 4.4% - -------------------------------------------------------------------------------- 12) Type of Reporting Person BD (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 144285-10-3 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Smith Barney Holdings Inc. S.S. or I.R.S Identification 06-1274088 No. of Above Person - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 933,087 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 933,087 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 933,087 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 5.7% - -------------------------------------------------------------------------------- 12) Type of Reporting Person CO (See Instructions) - -------------------------------------------------------------------------------- SCHEDULE 13G CUSIP NO. 144285-10-3 - -------------------------------------------------------------------------------- 1) Name of Reporting Person Travelers Group Inc. (formerly The S.S. or I.R.S Identification Travelers Inc.) No. of Above Person 52-1568099 - -------------------------------------------------------------------------------- 2) Check the Appropriate Box (a) if a Member of a Group ---------------------------- (See Instructions) (b) ---------------------------- - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially Owned (6) Shared Voting Power 933,087 by Each Reporting (7) Sole Dispositive Power 0 Person with (8) Shared Dispositive Power 933,087 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 933,087 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row 9 Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 5.7% - -------------------------------------------------------------------------------- 12) Type of Reporting Person HC (See Instructions) - -------------------------------------------------------------------------------- Item 1(a) Name of Issuer: CARPENTER TECHNOLOGY CORPORATION Item 1(b) Address of Issuer's Principal Executive Offices: 101 West Bern Street Reading, PA 19612-4662 Item 2(a) Names of Persons Filing: Smith Barney Inc. ("SB") Smith Barney Holdings Inc. ("SB Holdings") Travelers Group Inc. ("TRV") (formerly The Travelers Inc.) ("TRV") Item 2(b) Address of Principal Business Office or, if none, Residence: The address of the principal business office of each of SB, SB Holdings and TRV is: 388 Greenwich Street New York, NY 10013 Item 2(c) Citizenship: SB, SB Holdings and TRV are Delaware corporations. Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 144285-10-3 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ X ] Broker or Dealer registered under Sec. 15 of the Act (b) [ ] Bank as defined in Sec. 3(a)(6) of the Act (c) [ ] Insurance Company as defined in Sec. 3(a)(19) of the Act (d) [ ] Investment Company registered under Sec. 8 of the Investment Company Act (e) [ ] Investment Adviser registered under Sec. 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Sec. 240.13d-1(b)(1)(ii)(F) (g) [ X ] Parent Holding Company, in accordance with Sec. 240.13d- 1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with Sec. 240.13d-1(b)(1)(ii)(H) Item 4. Ownership (as of December 31, 1995) (a) Amount Beneficially Owned: See Item 9 of cover pages (b) Percent of Class: See Item 11 of cover pages (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote (ii) shared power to vote or to direct the vote (iii) sole power to dispose or to direct the disposition of (iv) shared power to dispose or to direct the disposition of See Items 5-8 of cover pages Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ X ]. With respect to Smith Barney Inc. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company SB Holdings is the sole common stockholder of SB, and TRV is the sole stockholder of SB Holdings. Item 8. Identification and Classification of Members of the Group Not Applicable. Item 9. Notice of Dissolution of Group Not Applicable. Item 10. Certification By signing below I certify that, to the best of my knowledge, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: January 22, 1996 SMITH BARNEY INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller EXHIBIT INDEX TO SCHEDULE 13G ----------------------------- EXHIBIT 1 - --------- Agreement among SB, SB Holdings and TRV as to joint filing of Schedule 13G EXHIBIT 2 - --------- Disclaimer of beneficial ownership by SB Holdings and TRV EX-99.1 2 EXHIBIT 1 --------- AGREEMENT AS TO JOINT FILING OF SCHEDULE 13G -------------------------------------------- Each of the undersigned hereby affirms that it is individually eligible to use Schedule 13G, and agrees that this Schedule 13G is filed on its behalf. Date: January 22, 1996 SMITH BARNEY INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller EX-99.2 3 EXHIBIT 2 --------- DISCLAIMER OF BENEFICIAL OWNERSHIP ---------------------------------- Each of the undersigned disclaims beneficial ownership of the securities referred to in the Schedule 13G to which this exhibit is attached, and the filing of this Schedule 13G shall not be construed as an admission that any of the undersigned is, for the purpose of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securities covered by this Schedule 13G. Date: January 22, 1996 SMITH BARNEY HOLDINGS INC. By: /s/ Howard M. Darmstadter --------------------------- Name: Howard M. Darmstadter Title: Assistant Secretary TRAVELERS GROUP INC. By: /s/ Charles J. Gallo, Jr. --------------------------- Name: Charles J. Gallo, Jr. Title: Assistant Controller -----END PRIVACY-ENHANCED MESSAGE-----