-----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, KkVdl6XdYVBydFeMyeUE7H2BsjlKOH9kijufIkmpgXsLpw78J4To09onX29bj2Q4 friXjsItMEf9htxheXPg4Q== 0000898431-05-000133.txt : 20051107 0000898431-05-000133.hdr.sgml : 20051107 20051107134012 ACCESSION NUMBER: 0000898431-05-000133 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20051107 DATE AS OF CHANGE: 20051107 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 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-34049 FILM NUMBER: 051182804 BUSINESS ADDRESS: STREET 1: 1047 N PARK ROAD CITY: WYOMISSING STATE: PA ZIP: 19610-1339 BUSINESS PHONE: 6102082000 MAIL ADDRESS: STREET 1: 1047 N PARK ROAD CITY: WYOMISSING STATE: PA ZIP: 19610 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROSSIN ADA E CENTRAL INDEX KEY: 0001035309 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 621 TROTWOOD CIRCLE CITY: PITTSBURGH STATE: PA ZIP: 15241 BUSINESS PHONE: 412-762-2766 MAIL ADDRESS: STREET 1: C/O PNC ADVISORS - HAWTHORN STREET 2: 249 FIFTH AVENUE, 2ND FLOOR CITY: PITTSBURGH STATE: PA ZIP: 15222 SC 13D/A 1 amform13d.txt AMENDED SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* CARPENTER TECHNOLOGY CORPORATION ----------------------------------------------------------------- (Name of Issuer) Common Stock, par value $5.00 per share ----------------------------------------------------------------- (Title of Class of Securities) 144285 10 3 ----------------------------------- (CUSIP Number) John A. Martin c/o PNC Advisors - Hawthorn 249 Fifth Avenue, 2nd Floor Pittsburgh, PA 15222 (412) 762-2766 ----------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 3, 2005 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-7 for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. CUSIP NO. 144285 10 3 Page 2 of 6 Pages The information required on 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). Page 3 of 6 Pages SCHEDULE 13D/A (Amendment No. 3) CUSIP No. 144285 10 3 1. NAME OF REPORTING PERSON Ada E. Rossin I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (Entities Only) 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] 3. SEC USE ONLY 4. SOURCE OF FUNDS 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] 6. CITIZENSHIP OR PLACE OF ORGANIZATION United States Citizen NUMBER OF 7. SOLE VOTING POWER 474,770 SHARES --------------------------------------------------------- BENEFICIALLY 8. SHARED VOTING POWER 906,144 OWNED BY --------------------------------------------------------- EACH 9. SOLE DISPOSITIVE POWER 474,770 REPORTING --------------------------------------------------------- PERSON WITH 10. SHARED DISPOSITIVE POWER 906,144 --------------------------------------------------------- 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,380,914 --------------------------------------------------------- 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.51% --------- 14. TYPE OF REPORTING PERSON IN CUSIP NO. 144285 10 3 Page 4 of 6 Pages This Schedule 13D/A, Amendment No. 3 (the "Amendment") relates to the common stock, par value $5.00 per share ("Common Stock") of Carpenter Technology Corporation ("CTC"). Except as specifically set forth in this Amendment, the Schedule 13D, as amended on November 5, 2004 and May 26, 2005 (the "Schedule 13D"), remains unmodified. Item 5. Interest in Securities of the Issuer. Items 5(a) and (b) of the Schedule 13D are hereby amended and restated to read as set forth below. Items 5(c)-(e) remain unchanged. (a) Ada E. Rossin may be deemed to indirectly beneficially own (i) 88,844 shares of CTC Common Stock as co-trustee of two trusts (the "Trusts) for the benefit of her two grandchildren, (ii) 817,300 shares of CTC Common Stock as co-trustee and lifetime beneficiary of the Ada E. Rossin Revocable Trust and (iii) 474,770 shares of CTC Common Stock as trustee and beneficiary of the Ada E. Rossin QTIP Trust. Accordingly, Ada E. Rossin may be deemed to be the beneficial owner of a total of 1,380,914 shares of CTC Common Stock or approximately 5.51% of the outstanding shares of CTC Common Stock. (b) Ada E. Rossin has sole voting and dispositive power over the 474,770 shares of CTC Common Stock in the Ada E. Rossin QTIP Trust. In addition, Ada E. Rossin has shared voting and dispositive power over 88,844 shares of CTC Common Stock in the Trusts and the 817,300 shares in the Ada E. Rossin Revocable Trust. Item 7. Material to be Filed as Exhibits. Exhibit No. Description ------------ ----------------- 24.1 Power of Attorney (incorporated by reference from Exhibit 24.1 to the amended Schedule 13D filed by Ada E. Rossin on November 5, 2004). CUSIP NO. 144285 10 3 Page 5 of 6 Pages 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. Dated: November 7, 2005 /s/ John A. Martin --------------------------------------- John A. Martin, Attorney-in-Fact for Ada E. Rossin CUSIP NO. 144285 10 3 Page 6 of 6 Pages Exhibit Index Exhibit No. Description -------------- ---------------- 24.1 Power of Attorney (incorporated by reference from Exhibit 24.1 to the amended Schedule 13D filed by Ada E. Rossin on November 5, 2004). -----END PRIVACY-ENHANCED MESSAGE-----