0000017843-12-000019.txt : 20121211
0000017843-12-000019.hdr.sgml : 20121211
20121211160903
ACCESSION NUMBER: 0000017843-12-000019
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120925
FILED AS OF DATE: 20121211
DATE AS OF CHANGE: 20121211
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HICKS THOMAS O
CENTRAL INDEX KEY: 0000938201
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05828
FILM NUMBER: 121256614
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/A
1
edgar.xml
PRIMARY DOCUMENT
X0306
4/A
2012-09-25
2012-09-27
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
750003
D
154041
D
Common Stock
2612603
I
Described in Explanation of Responses
This amended Form 4 is being filed in its entirety to reflect the number of shares that were beneficially owned by the reporting person subsequent to the September 25, 2012 distribution.
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 750,003 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., and CFH Ventures, Ltd., each an affiliate of the reporting person, received an aggregate of 135,160 shares of common stock of the Issuer. Following the HHEP-Latrobe Distribution, the reporting person beneficially owns 2,766,644 shares of common stock of the Issuer, 154,041 of which are owned directly while the remaining 2,612,603 are owned indirectly.
K. Douglas Ralph/POA
2012-12-11