JAMES D. DEE - 19 Sep 2023 Form 4 Insider Report for CARPENTER TECHNOLOGY CORP (CRS)

Role
SVP Gen Counsel and Secretary
Signature
James D. Dee
Issuer symbol
CRS
Transactions as of
19 Sep 2023
Net transactions value
-$1,198,830
Form type
4
Filing time
21 Sep 2023, 16:39:28 UTC
Previous filing
21 Aug 2023
Next filing
23 May 2024
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CRS Common Stock Options Exercise $322,212 +8,751 +13% $36.82 76,359 19 Sep 2023 Direct F1, F2
transaction CRS Common Stock Options Exercise $360,467 +9,238 +12% $39.02 85,597 19 Sep 2023 Direct F1, F2
transaction CRS Common Stock Options Exercise $2,416,821 +61,938 +72% $39.02 147,535 19 Sep 2023 Direct F1, F2
transaction CRS Common Stock Tax liability $4,298,329 -63,155 -43% $68.06 84,380 19 Sep 2023 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CRS Employee Stock Option (Right to Buy) Options Exercise -8,751 -100% 0 19 Sep 2023 Common Stock 8,751 $36.82 Direct F3, F4
transaction CRS Employee Stock Option (Right to Buy) Options Exercise -9,238 -100% 0 19 Sep 2023 Common Stock 9,238 $39.02 Direct F4, F5
transaction CRS Employee Stock Option (Right to Buy) Options Exercise -61,938 -100% 0 19 Sep 2023 Common Stock 61,938 $39.02 Direct F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The transaction reported in this line was undertaken by the Reporting Person for tax planning purposes.
F2 Includes shares acquired under the Carpenter Technology Corporation Dividend Reinvestment Program.
F3 One-third of this award became exercisable on each of August 3, 2016, 2017 and 2018.
F4 The reporting person was granted an option to buy shares of common stock under the Carpenter Technology Corporation Stock-Based Incentive Compensation Plan for Officers and Key Employees.
F5 One-third of this award became exercisable on each of August 1, 2017, 2018 and 2019.