0001209191-13-054899.txt : 20131203 0001209191-13-054899.hdr.sgml : 20131203 20131203155031 ACCESSION NUMBER: 0001209191-13-054899 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131202 FILED AS OF DATE: 20131203 DATE AS OF CHANGE: 20131203 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: 131254416 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 2013-12-02 0 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 2013-12-02 4 S 0 2694 60.5936 D 35388 I I Common Stock 2013-12-02 4 S 0 2694 60.5936 D 35388 I I Common Stock 2013-12-02 4 S 0 2694 60.5936 D 35388 I I Common Stock 2013-12-02 4 S 0 2694 60.5936 D 35388 I I Common Stock 2013-12-02 4 S 0 3234 60.5936 D 42465 I I Common Stock 2013-12-02 4 S 0 1617 60.5936 D 49513 I I Common Stock 199518 I I 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 $60.50 to $60.74. 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 35,388 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 $60.50 to $60.74. 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 35,388 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 $60.50 to $60.74. 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 35,388 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 $60.50 to $60.74. 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 35,388 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 $60.50 to $60.74. 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 42,465 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 $60.50 to $60.74. 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 49,513 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 199,518 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 2013-12-02