Dee James D's Form 4 filing
Carpenter Technology CorpCRS · filed May 23, 2024
- Accession no.
- 0001062993-24-011051
- Filed
- May 23, 2024
- Trade date
- May 21, 2024
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not checked
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market sales total $2.62M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Dee James DCIK 0001137979 | Officer (SVP Gen Counsel & Sec) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 21, 2024 | Common Stock | MOption exerciseAcquired | +4,210 | $53.95 | +$227,129.5 | 89,008.41 | Direct | |
| May 21, 2024 | Common Stock | MOption exerciseAcquired | +8,808 | $40.43 | +$356,107.44 | 97,816.41 | Direct | |
| May 21, 2024 | Common Stock | MOption exerciseAcquired | +4,276 | $58.94 | +$252,027.44 | 102,092.41 | Direct | |
| May 21, 2024 | Common Stock | MOption exerciseAcquired | +6,224 | $44.13 | +$274,665.12 | 108,316.41 | Direct | |
| May 21, 2024 | Common Stock | SSaleDisposed | −23,518 | $111.26F2 | −$2,616,612.68 | 84,798.41 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| May 21, 2024 | Common Stock | MOption exerciseDisposed | −4,210 | –F4 | – | 0 | Direct | |
| May 21, 2024 | Common Stock | MOption exerciseDisposed | −8,808 | –F4 | – | 0 | Direct | |
| May 21, 2024 | Common Stock | MOption exerciseDisposed | −4,276 | –F4 | – | 0 | Direct | |
| May 21, 2024 | Common Stock | MOption exerciseDisposed | −6,224 | –F4 | – | 0 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F2
The price reported is an average of the total transactions executed for the day, with the individual transactions ranging from a low of $111.00 per share to a high of $111.815 per share.
Referenced by the price of 1 transaction in Table I.
- 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.
Referenced by the price of 4 transactions in Table II.