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Carpenter Technology (NYSE: CRS) SVP reports RSU vesting and tax withholding

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

Rhea-AI Filing Summary

CARPENTER TECHNOLOGY CORP senior vice president, general counsel and secretary James D. Dee reported vesting of a performance-based restricted stock unit award originally granted on August 15, 2023, after performance for the period through June 30, 2026 was certified on July 14, 2026. On that date, he received a grant of 12,052 common shares and had 5,534 shares withheld to satisfy tax obligations, resulting in direct ownership of 85,798.65 common shares.

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Insider DEE JAMES D
Role SVP, Gen Counsel & Sec
Type Security Shares Price Value
Grant/Award Common Stock 12,052 -- --
Tax Withholding Common Stock 5,534 $576.87 $3.19M
Holdings After Transaction: Common Stock — 85,798.65 shares (Direct)
Footnotes (1)
  1. The reporting person was granted a performance-based restricted stock unit award with an effective grant date of August 15, 2023, and performance period ending June 30, 2026. The financial results were confirmed and approved on July 14, 2026, by the Audit/Finance Committee of Carpenter's Board of Directors and, on July 14, 2026, the Human Capital Management Committee of Carpenter's Board of Directors certified the achievement of the performance targets based on the approved financial results. Includes shares acquired under the Carpenter Technology Corporation Dividend Reinvestment Program. In connection with the vesting of reported performance award under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.
Shares granted 12052.0000 shares Performance-based restricted stock unit award vested for James D. Dee on July 14, 2026
Tax-withheld shares 5534.0000 shares Shares delivered to satisfy tax obligations related to award vesting on July 14, 2026
Tax withholding reference price $576.8700 per share Reference price for the 5,534-share tax-withholding disposition of common stock
Shares owned after transactions 85798.6500 shares Direct Carpenter Technology common stock holdings of James D. Dee after July 14, 2026 transactions
performance-based restricted stock unit award financial
"was granted a performance-based restricted stock unit award with an effective grant date"
A performance-based restricted stock unit award is a promise to give company shares to an employee or executive only if the business hits specific targets over a set period. Think of it as a conditional prize that vests like a savings plan: if agreed goals (such as revenue, profit, or stock performance) are met, the recipient receives the shares; if not, they get nothing. Investors pay attention because these awards align management incentives with company results and can affect share count, future earnings and executive behavior.
Dividend Reinvestment Program financial
"Includes shares acquired under the Carpenter Technology Corporation Dividend Reinvestment Program"
A dividend reinvestment program lets investors automatically use cash dividends to buy more shares of the same company instead of taking the money as cash. Think of it like an automatic savings plan that turns small payouts into additional ownership, often including fractional shares, which can speed up compound growth and reduce the need for manual buying decisions — a convenience that can boost long-term returns for shareholders.
Stock-Based Compensation Plan for Officers and Key Employees financial
"vesting of reported performance award under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees"
tax-withholding disposition financial
"Payment of exercise price or tax liability by delivering securities describes a tax-withholding disposition"
A tax-withholding disposition is an event or transaction—such as selling or transferring securities, exercising options, or receiving compensation—that triggers a requirement to hold back part of the payment and remit it to tax authorities. It matters to investors because it reduces the cash they receive immediately and can change the timing and amount of taxable income, like a cashier taking a portion of your sale proceeds to pay taxes before you get the rest.

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

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FAQ

What insider transactions did Carpenter Technology (CRS) SVP James D. Dee report on July 14, 2026?

James D. Dee reported vesting of a performance-based stock award. He acquired 12,052 Carpenter Technology common shares and had 5,534 shares withheld to cover taxes, reflecting compensation rather than open‑market trading.

How many Carpenter Technology (CRS) shares were granted to James D. Dee in this Form 4?

He received a grant of 12,052 Carpenter Technology common shares. The grant reflects the vesting of a performance-based restricted stock unit award tied to results for a performance period ending June 30, 2026 and certified on July 14, 2026.

How many Carpenter Technology (CRS) shares were withheld for taxes in James D. Dee’s filing?

A total of 5,534 common shares were disposed of through tax withholding. These shares were delivered to satisfy tax obligations related to the vesting of the performance-based award, not sold in an open‑market transaction.

What is James D. Dee’s Carpenter Technology (CRS) share ownership after these transactions?

Following the reported transactions, James D. Dee directly owns 85,798.65 Carpenter Technology common shares. This reflects the net effect of the 12,052-share award vesting and 5,534 shares withheld to meet associated tax liabilities.

What was the performance period for the Carpenter Technology (CRS) performance-based RSU award?

The performance-based restricted stock unit award had a performance period ending June 30, 2026. It was originally granted effective August 15, 2023, with achievement of performance targets certified by board committees on July 14, 2026.

Under which plans were the Carpenter Technology (CRS) shares in this Form 4 issued and accumulated?

The award vested under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees, and the holding total also includes shares acquired through the company’s Dividend Reinvestment Program.
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*
DEE JAMES D

(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)
Director10% Owner
XOfficer (give title below)Other (specify below)
SVP, Gen Counsel & Sec
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
07/14/2026
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
Common Stock07/14/2026A12,052A(1)85,798.65(2)D
Common Stock07/14/2026F(3)5,534D$576.8780,264.65(2)D
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
Explanation of Responses:
1. The reporting person was granted a performance-based restricted stock unit award with an effective grant date of August 15, 2023, and performance period ending June 30, 2026. The financial results were confirmed and approved on July 14, 2026, by the Audit/Finance Committee of Carpenter's Board of Directors and, on July 14, 2026, the Human Capital Management Committee of Carpenter's Board of Directors certified the achievement of the performance targets based on the approved financial results.
2. Includes shares acquired under the Carpenter Technology Corporation Dividend Reinvestment Program.
3. In connection with the vesting of reported performance award under the Carpenter Technology Corporation Stock-Based Compensation Plan for Officers and Key Employees.
James D. Dee07/16/2026
** 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)