SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Malloy Brian J

(Last) (First) (Middle)
CARPENTER TECHNOLOGY CORPORATION
1735 MARKET STREET, 15TH FL

(Street)
PHILADELPHIA PA 19103

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
10/09/2018
3. Issuer Name and Ticker or Trading Symbol
CARPENTER TECHNOLOGY CORP [ CRS ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
VP - Chief Commercial Officer
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock 21,785 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Employee Stock Options 08/03/2016 08/03/2025 Common Stock 2,210 36.82 D
Employee Stock Options 08/03/2017 08/03/2025 Common Stock 2,210 36.82 D
Employee Stock Options 08/03/2018 08/03/2025 Common Stock 2,210 36.82 D
Employee Stock Options 08/01/2017 08/01/2026 Common Stock 1,925 39.02 D
Employee Stock Options 08/01/2018 08/01/2026 Common Stock 1,925 39.02 D
Employee Stock Options 08/01/2019 08/01/2026 Common Stock 1,924 39.02 D
Employee Stock Options 08/01/2019 08/01/2026 Common Stock 56,981 39.02 D
Employee Stock Options 07/31/2018 07/31/2027 Common Stock 1,835 40.43 D
Employee Stock Options 07/31/2019 07/31/2027 Common Stock 1,835 40.43 D
Employee Stock Options 07/31/2020 07/31/2027 Common Stock 1,835 40.43 D
Employee Stock Options 08/06/2019 08/06/2028 Common Stock 1,426 58.94 D
Employee Stock Options 08/06/2020 08/06/2028 Common Stock 1,425 58.94 D
Employee Stock Options 08/06/2021 08/06/2028 Common Stock 1,425 58.94 D
Explanation of Responses:
Remarks:
James D. Dee/POA 10/17/2018
** Signature of Reporting Person Date
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 5 (b)(v).
** 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 is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.