SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
HICKS THOMAS O

(Last) (First) (Middle)
C/O CARPENTER TECHNOLOGY CORPORATION
PO BOX 14662

(Street)
READING PA 19612

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
CARPENTER TECHNOLOGY CORP [ CRS ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
Officer (give title below) Other (specify below)
3. Date of Earliest Transaction (Month/Day/Year)
12/02/2013
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 12/02/2013 S 2,694 D $60.5936 (1) 35,388 I I (2)
Common Stock 12/02/2013 S 2,694 D $60.5936 (3) 35,388 I I (4)
Common Stock 12/02/2013 S 2,694 D $60.5936 (5) 35,388 I I (6)
Common Stock 12/02/2013 S 2,694 D $60.5936 (7) 35,388 I I (8)
Common Stock 12/02/2013 S 3,234 D $60.5936 (9) 42,465 I I (10)
Common Stock 12/02/2013 S 1,617 D $60.5936 (11) 49,513 I I (12)
Common Stock 199,518 I I (13)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. 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.
2. 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.
3. 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.
4. 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.
5. 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.
6. 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.
7. 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.
8. 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.
9. 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.
10. 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.
11. 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.
12. 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.
13. 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.
Remarks:
/s/ Thomas O. Hicks 12/02/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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