0000017843-12-000015.txt : 20120927 0000017843-12-000015.hdr.sgml : 20120927 20120927133942 ACCESSION NUMBER: 0000017843-12-000015 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120925 FILED AS OF DATE: 20120927 DATE AS OF CHANGE: 20120927 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: 121112645 MAIL ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1600 CITY: DALLAS STATE: TX ZIP: 75201 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 2012-09-25 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 2012-09-25 4 J 0 745360 D 154041 D Common Stock 2617246 I Described in Explanation of Responses See Below The reporting person is an affiliate of HHEP-Latrobe, L.P. ("HHEP-Latrobe"), which is an affiliate 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 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, HHEP-Latrobe, directly, and the reporting person, indirectly, was the beneficial owner of 3,516,647 shares of common stock of the Issuer. On September 25, 2012, pursuant to a registration statement filed and automatically effective on June 14, 2012, HHEP-Latrobe conducted an in-kind distribution of 1,039,204 of its shares of common stock of the Issuer to its respective members and partners (the "HHEP-Latrobe Distribution"). In the HHEP-Latrobe Distribution, (i) persons and entities not affiliated with the reporting person received 745,360 shares of common stock of the Issuer, (ii) the reporting person received 154,041 shares of common stock of the Issuer and (iii) TOH, Jr. Ventures, Ltd., MHH Ventures, Ltd., JAH Ventures, Ltd., RBH Ventures, Ltd., WCH Ventures, Ltd., CFH Ventures, Ltd., Thomas O. Hicks, Jr., and Mack H. Hicks, each an affiliate of the reporting person, received an aggregate of 139,803 shares of common stock of the Issuer. Following the HHEP-Latrobe Distribution, the reporting person beneficially owns 2,771,287 shares of common stock of the Issuer, 154,041 of which are owned directly while the remaining 2,617,246 are owned indirectly. James D. Dee/POA 2012-09-27