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CARPENTER TECHNOLOGY CORP — Director's Dealing 2016
Oct 14, 2016
30520_dirs_2016-10-13_b33e07be-a6d8-41e7-a4f9-62b4d31847de.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: CARPENTER TECHNOLOGY CORP (CRS)
CIK: 0000017843
Period of Report: 2016-10-11
Reporting Person: DEE JAMES D (VP, Gen Counsel & Secretary)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 24922 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Employee Stock Option (right to buy) | $34.77 | 2020-09-13 | Common Stock (4952) | Direct | |
| Employee Stock Option (right to buy) | $56.52 | 2021-07-28 | Common Stock (3144) | Direct | |
| Employee Stock Option (right to buy) | $47.86 | 2022-07-31 | Common Stock (3596) | Direct | |
| Employee Stock Option (right to buy) | $52.41 | 2023-07-30 | Common Stock (3392) | Direct | |
| Employee Stock Option (right to buy) | $59.15 | 2021-03-01 | Common Stock (3511) | Direct | |
| Employee Stock Option (right to buy) | $53.95 | 2024-08-01 | Common Stock (4210) | Direct | |
| Employee Stock Option (right to buy) | $36.82 | 2025-08-03 | Common Stock (8751) | Direct | |
| Employee Stock Option (right to buy) | $39.02 | 2026-08-01 | Common Stock (9238) | Direct | |
| Employee Stock Option (right to buy) | $39.02 | 2026-08-01 | Common Stock (61938) | Direct |
Footnotes
F1: Includes restricted stock units granted under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.
F2: This award became exercisable in equal amounts on each of 9/13/11, 9/13/12 and 9/13/13.
F3: This award became exercisable in equal amounts on each of 7/28/12,7/28/13 and 7/28/14.
F4: This award became exercisable in equal amounts on each of 7/31/13, 7/31/14 and 7/31/15.
F5: This award became exercisable in equal amounts on each of 7/30/14, 7/30/15 and 7/30/16.
F6: One-third of this award became exercisable on each of 8/1/15 and 8/1/16; and one-third will become exercisable on 8/1/17.
F7: One-third of this award became exercisable on 8/3/16; and one-third will become exercisable on each of 8/3/17 and 8/3/18.
F8: This award will become exercisable in equal amounts on each of 8/1/17, 8/1/18 and 8/1/19.