-----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, GUY1Jf72+f8ahNk4boE8GqENfp9ijI0K/C/2BbG/oPMIaiZqk9y1tuDQO+m16LpB kWkMLCThdKXYeKHVFGtBIw== 0000898431-98-000161.txt : 19980511 0000898431-98-000161.hdr.sgml : 19980511 ACCESSION NUMBER: 0000898431-98-000161 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980430 FILED AS OF DATE: 19980508 SROS: NYSE 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: 4 SEC ACT: SEC FILE NUMBER: 001-05828 FILM NUMBER: 98613714 BUSINESS ADDRESS: STREET 1: 101 WEST BERN ST CITY: READING STATE: PA ZIP: 19601 BUSINESS PHONE: 2152082000 MAIL ADDRESS: STREET 1: 101 WEST BERN ST CITY: READING STATE: PA ZIP: 19601 COMPANY DATA: COMPANY CONFORMED NAME: ROSSIN PETER C CENTRAL INDEX KEY: 0001035307 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 621 TROTWOOD CIRCLE CITY: PITTSBURGH STATE: PA ZIP: 15241 BUSINESS PHONE: 4128332162 MAIL ADDRESS: STREET 1: 621 TROTWOOD CIRCLE CITY: PITSBURGH STATE: PA ZIP: 15241 4 1 FORM 4 FOR PETER C. ROSSIN --------------------------- FORM 4 --------------------------- ------------------------------ OMB APPROVAL OMB Number: 3235-0287 Expires: September 30, 1998 Estimated average burden hours per response 0.5 ------------------------------ 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, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 / / Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Response) 1. Name and Address of Reporting Person* Rossin Peter C. ---------------------------------------------- (Last) (First) (Middle) 621 Trotwood Circle ---------------------------------------------- (Street) Pittsburgh PA 15241 ---------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol Carpenter Technology Corporation (CRS) ------------------------------------------------ 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### ------------------------ 4. Statement for Month/Year April 1998 ------------------------ 5. If Amendment, Date of Original (Month/Year) ------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) /X/ Director /X/ 10% Owner / / Officer (Give Title) --------------- / / Other (Specify) --------------- 7. Individual or Joint/Group Filing (Check Applicable Line) /X/ Form filed by One Reporting Person / / Form filed by More than One Reporting Person Page 1 of 3 SEC 1474 (7-96)
==================================================================================================================================== TABLE I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ==================================================================================================================================== 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Ownership 7. Nature of (Instr. 3) action action or Disposed of (D) Securities Form: Indirect Date Code (Instr. 3, 4 and 5) Benefici- Direct (D) Beneficial (Instr. 8) ally Owned or In- Ownership --------- ----------- -------------------------- at End of direct (I) (Instr. 4) (Month/ Code V Amount (A) or (D) Price Month (Instr. 4) Day/ (Instr. 3 Year) and 4) Common Stock, $5.00 par value 04/08/98 G (1) 278,650 D 2,000,000 D ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- As Trustee of Charitable Remainder Unitrust dated Common Stock, $5.00 April 8, par value 04/08/98 G (1) 278,650 A 278,650 I 1998. ------------------------ -------- ----- ----- ------- -------- ------- ---------- ------------ --------- ==================================================================================================================================== ==================================================================================================================================== 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).
Page 2 of 3 SEC 1474 (7-96)
==================================================================================================================================== TABLE II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ==================================================================================================================================== 1. Title of 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date 7. Title and Derivative sion or action action Derivative Exercisable Amount of Security Exercise Date Code Securities and Under- (Instr. 3) Price of (Month/ (Instr. 8) Acquired (A) Expiration lying Deriva- Day/ or Disposed Date Securities tive Year) of (D)(Instr. (Month/Day/ (Instr. 3 Security 3, 4 and 5) Year) and 4) Date Expir- Amount or Exer- ation Number of Code V (A) (D) cisable Date Title Shares Not Applicable --------------- --------- -------- ------ ----- ------- ------- -------- -------- ------- ---------- ==================================================================================================================================== Table II (continued) ==================================================================================================================================== 8. Price of 9. Number of 10. Ownership 11. Nature of Derivative Derivative Form of Indirect Security Securities Derivative Beneficial (Instr. 5) Benefic- Security: Ownership ially Direct (D) (Instr. 4) Owned at or Indirect End of Month (I)(Instr. 4) (Instr. 4) ------------ ------------- ------------- ------------ ==================================================================================================================================== ====================================================================================================================================
Explanation of Responses: (1) Gift to irrevocable inter vivos charitable remainder unitrust as defined in Section 664(d)(2) of the Internal Revenue Code of 1986, as amended. ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. ----------------------------------- C.J. Queenan, Jr. *as Attorney-in-Fact for Peter C. Rossin ----------------- Date Page 3 of 3 SEC 1474 (7-96)6 -----END PRIVACY-ENHANCED MESSAGE-----