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Carpenter Technology (CRS) awards director Ken Giacobbe stock units and options

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

CARPENTER TECHNOLOGY CORP reported that director Ken Giacobbe received equity-based compensation. He was granted 225 Director Stock Units, which convert into common stock on a 1-for-1 basis and are payable upon the later of separation from service or a specified date or event. He also received a stock option grant covering 21 shares of common stock at an exercise price of $537.5700 per share, exercisable from August 11, 2027 until August 11, 2036. All positions are held as direct ownership under the company’s stock-based compensation plan for non-employee directors.

Positive

  • None.

Negative

  • None.
Insider Giacobbe Ken
Role Director
Type Security Shares Price Value
Grant/Award Director Stock Units F1, F3, F2 225 -- --
Grant/Award Director Stock Option (Right to Buy) F4 21 -- --
Holdings After Transaction: Director Stock Units — 225 shares (Direct); Director Stock Option (Right to Buy) — 21 shares (Direct)
Footnotes (4)
  1. F1. Converts to common stock on a 1-for-1 basis
  2. F2. Payable upon the later of separation of service or a specified date or event.
  3. F3. The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors.
  4. F4. The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors.
Director Stock Units granted 225 Director Stock Units Grant to director Ken Giacobbe on August 11, 2026; 1-for-1 into common stock
Director Stock Units holdings 225 Director Stock Units Total units held directly by Ken Giacobbe after the reported grant
Stock options granted 21 options on Common Stock Director stock option grant on August 11, 2026
Option exercise price $537.5700 per share Exercise price for 21-share director stock option grant
Option exercisable date August 11, 2027 Start of exercise period for director stock option
Option expiration date August 11, 2036 Expiration of director stock option on 21 shares
Director Stock Units financial
"The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors."
Director stock units are promises a company makes to its board members to pay them company shares (or cash equal to the share value) after a set period or when certain conditions are met. They matter to investors because they align directors’ incentives with shareholders—encouraging decisions that boost long‑term value—but can also increase the total shares outstanding when converted, slightly diluting existing ownership.
restricted stock units financial
"The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
Stock-Based Compensation Plan for Non-Employee Directors financial
"The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors."
Director Stock Option (Right to Buy) financial
"The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors."

FAQ

What equity awards did Ken Giacobbe receive from CRS on August 11, 2026?
Ken Giacobbe received 225 Director Stock Units and a stock option grant for 21 shares of Common Stock, both reported as director compensation under Carpenter Technology’s stock-based compensation plan for non-employee directors.

How do the 225 Director Stock Units for CRS convert into common stock?
The 225 Director Stock Units convert into common stock on a 1-for-1 basis. They are payable upon the later of the director’s separation from service or a specified date or event, as described in the plan terms.

What are the key terms of Ken Giacobbe’s CRS stock option grant?
The option covers 21 shares of Common Stock at an exercise price of $537.5700 per share. It becomes exercisable on August 11, 2027 and expires on August 11, 2036, reflecting a long-dated director option award.

Are Ken Giacobbe’s CRS equity awards held directly or indirectly?
Both the Director Stock Units and the stock option are reported as held with direct ownership. The filing does not attribute these awards to any trust, LLC, or other indirect ownership vehicle in the ownership fields.

Were the CRS transactions for Ken Giacobbe made under a Rule 10b5-1 plan?
The filing’s Rule 10b5-1 checkbox is not marked as using such a plan. The transactions are reported as grant or award acquisitions of director compensation, not as open-market purchases or sales under a trading plan.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED 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
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Giacobbe Ken
(Last)(First)(Middle)
C/O CARPENTER TECHNOLOGY CORPORATION
1735 MARKET STREET, 15TH FL
(Street)
PHILADELPHIA PENNSYLVANIA 19103
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
CARPENTER TECHNOLOGY CORP [ CRS ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
08/11/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Director Stock Units(1)08/11/2026A225 (2) (2)Common Stock225(3)225D
Director Stock Option (Right to Buy)$537.5708/11/2026A2108/11/202708/11/2036Common Stock21(4)21D
Explanation of Responses:
1. Converts to common stock on a 1-for-1 basis
2. Payable upon the later of separation of service or a specified date or event.
3. The reporting person was granted restricted stock units under the Carpenter Technology Corporation Stock-Based Compensation Plan for Non-Employee Directors.
4. The reporting person was granted an option to purchase stock under the Carpenter Technology Corporation Stock Based Compensation Plan for Non-Employee Directors.
James D. Dee/POA08/13/2026
** Signature of Reporting PersonDate
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).
** 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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR