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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Carpenter Technology Corp | NYSE:CRS | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
4.08 | 4.08% | 103.98 | 104.845 | 99.97 | 100.54 | 452,487 | 18:51:08 |
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Page
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Report of Independent Registered Public Accounting Firm
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Financial Statements:
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Statements of Net Assets Available for Benefits
as of December 31, 2015 and 2014
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Statement of Changes in Net Assets Available for Benefits
for the Year Ended December 31, 2015
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Notes to Financial Statements
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Supplementary Information:
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Schedule H, Line 4(i) - Schedule of Assets (Held at End of Year)
as of December 31, 2015
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Dollars in thousands
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2015
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2014
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||||
Investments, at fair value:
|
|
|
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|
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Registered investment companies
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$
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370,809
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$
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401,479
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Interest in Carpenter Technology Master Trust Fund
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89,929
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112,513
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Total investments
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460,738
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513,992
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Notes receivable from participants
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12,036
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12,224
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Net assets reflecting investments at fair value
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472,774
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526,216
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Adjustment from fair value to contract value for fully benefit-responsive investment contracts
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(548
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)
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(1,411
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)
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Net assets available for benefits
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$
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472,226
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$
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524,805
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Dollars in thousands
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Investment (loss) income:
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Net depreciation in fair value of registered investment companies
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$
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(13,314
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)
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Interest in Carpenter Technology Master Trust Fund loss
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(14,950
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)
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Dividends
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12,139
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Total investment (loss)
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(16,125
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)
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Interest income from notes receivable from participants
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501
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Contributions:
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|
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Participant
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13,732
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Participant rollover
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285
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Employer
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4,930
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Total contributions
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18,947
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Transfers out
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(300
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)
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Benefits paid to participants
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(55,238
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)
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Administrative expenses
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(364
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)
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Net decrease in net assets available for benefits
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(52,579
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)
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Net assets available for benefits, beginning of year
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524,805
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Net assets available for benefits, end of year
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$
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472,226
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•
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Short-term investment funds are valued based on quoted market values reported on active markets on which the individual securities are traded.
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•
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Traditional GICs are unsecured, general account obligations of insurance companies backed by the general account assets of the insurance company that writes the investment contract. The fair values for traditional GICs are calculated using the present value for the contract’s future cash flows discounted by comparable duration market rates.
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•
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Fixed maturity synthetic GICs consist of an asset or collection of assets that are owned by the fund and a benefit responsive, book value wrap contract purchased for the portfolio. The fair values of the book value wrap contracts are not considered material to the overall valuation of the underlying contracts. The underlying assets consist of bond funds, U.S. Government securities, mortgage backed securities and other securities. The fair values for fixed maturity GICs are calculated using the sum, of all the underlying assets market values based on market values reported on active markets on which the individual securities are traded. However, the individual contracts are not actively traded.
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•
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Constant duration synthetic GICs consist of a portfolio of securities owned by the fund and a benefit responsive, book value wrap contract purchased for the portfolio. The fair values of the book value wrap contracts are not considered material to the overall valuation of the underlying contracts. The underlying assets consist of bond funds, U.S. Government securities, mortgage backed securities and asset backed securities. The fair values for constant duration synthetic GICs are determined by reference to the net asset values reported by the investment managers holding the funds.
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Dollars in thousands
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2015
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Level 1
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Registered investment companies:
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Balanced funds
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$
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113,786
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Bond funds
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48,343
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Domestic equity funds
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154,762
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International equity funds
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43,338
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Money market fund
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10,580
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Total investments excluding plan interest in Master Trust, at fair value
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$
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370,809
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Dollars in thousands
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|
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2014
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Level 1
|
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Registered investment companies:
|
|
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Balanced funds
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$
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121,975
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Bond funds
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50,476
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Domestic equity funds
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172,755
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International equity funds
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45,543
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Money market fund
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10,730
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|
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Total investments excluding plan interest in Master Trust, at fair value
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$
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401,479
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Dollars in thousands
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|
2015
|
|
2014
|
||||
Vanguard Institutional Index Fund
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|
$
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78,668
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|
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$
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86,318
|
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Vanguard Target Retirement 2025 Fund
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$
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32,949
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|
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$
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34,447
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Vanguard Total International Stock Index Fund; Inst Shares
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$
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26,964
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$
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28,348
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Vanguard Mid-Cap Index Fund; Institutional Shares
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$
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25,666
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$
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28,959
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Prudential Total Return Bond Fund; Class Q
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$
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24,584
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**
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Vanguard Total Bond Market Index Fund; Admiral Shares
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$
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23,759
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*
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PIMCO Total Return Fund; Institutional Class
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**
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$
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27,790
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* does not represent 5% of investments for this year
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** was not an investment in the Plan for this year
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Average Yields of Standish Mellon Stable Value Fund:
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2015
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2014
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Based on actual earnings
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2.20%
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2.11%
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Based on interest rate credited to participants
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2.26%
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2.18%
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Dollars in thousands
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2015
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2014
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||||
Investments, at fair value:
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Standish Mellon Stable Value Fund
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Transamerica Premier Life
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$
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19,775
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*
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$
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19,523
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*
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Voya Ret Insurance & Annuity Co (MCA 60410)
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18,665
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*
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18,427
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*
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Prudential (GA-62204)
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18,701
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*
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18,419
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*
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United of Omaha (SDGA-20882)
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7,156
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*
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—
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Bank of New York Mellon
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3,597
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5,204
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United of Omaha (SVW-14979)
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2,004
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10,407
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*
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Prudential (GA-62222)
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1,287
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2,536
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Total Standish Mellon Stable Value Fund
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71,185
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74,516
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Carpenter Technology Corporation Stock Fund
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27,679
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*
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46,632
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*
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Assets in Master Trust reflecting investments at fair value
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98,864
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121,148
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Adjustment from fair value to contract value for
fully benefit-responsive investment contracts |
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(619
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)
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(1,581
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)
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Net assets in Master Trust
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$
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98,245
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$
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119,567
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* represents 5% or more of investments
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Dollars in thousands
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|
2015
|
|
2014
|
|
||||
Plan interest in Master Trust, at fair value
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|
$
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89,929
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$
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112,513
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Adjustment from fair value to contract value for fully benefit-responsive investment contracts
|
|
(548
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)
|
|
(1,411
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)
|
|
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Plan interest in Master Trust
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|
$
|
89,381
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|
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$
|
111,102
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|
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Dollars in thousands
|
|
|
|
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Net depreciation in fair value of investments:
|
|
|
|
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Carpenter Technology Corporation Stock Fund
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|
$
|
(17,124
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)
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Interest and dividends:
|
|
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Standish Mellon Stable Value Fund
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|
1,317
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|
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Carpenter Technology Corporation Stock Fund
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|
676
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|
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Total investment (loss)
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$
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(15,131
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)
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Dollars in thousands
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|
|
|
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Investment (loss) income:
|
|
|
|
|
Net depreciation in fair value of investments
|
|
$
|
(17,124
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)
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Interest and dividends
|
|
1,993
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|
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Total investment (loss)
|
|
(15,131
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)
|
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Net transfers
|
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(6,191
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)
|
|
Net decrease
|
|
(21,322
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)
|
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Net assets available for benefits, beginning of year
|
|
119,567
|
|
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Net assets available for benefits, end of year
|
|
$
|
98,245
|
|
Dollars in thousands
|
|
|
|
|
|
|
|
|
|
|||
2015
|
|
Level 1
|
|
Level 2
|
|
Total
|
||||||
Carpenter Technology Stock Fund
|
|
$
|
27,679
|
|
|
$
|
—
|
|
|
$
|
27,679
|
|
Standish Mellon Stable Value Fund
|
|
|
|
|
|
|
|
|
|
|||
Short-term investment funds
|
|
3,597
|
|
|
—
|
|
|
3,597
|
|
|||
Traditional GICs
|
|
—
|
|
|
3,291
|
|
|
3,291
|
|
|||
Fixed maturity synthetic GICs:
|
|
|
|
|
|
|
|
|
||||
Corporate bonds
|
|
—
|
|
|
1,216
|
|
|
1,216
|
|
|||
U.S. Government securities
|
|
—
|
|
|
5,113
|
|
|
5,113
|
|
|||
Mortgage backed securities
|
|
—
|
|
|
645
|
|
|
645
|
|
|||
Other securities
|
|
—
|
|
|
182
|
|
|
182
|
|
|||
Constant duration synthetic GICs:
|
|
|
|
|
|
|
|
|
||||
Corporate bonds
|
|
—
|
|
|
31,964
|
|
|
31,964
|
|
|||
U.S. Government securities
|
|
—
|
|
|
8,449
|
|
|
8,449
|
|
|||
Mortgage backed securities
|
|
—
|
|
|
9,809
|
|
|
9,809
|
|
|||
Asset backed securities
|
|
—
|
|
|
6,919
|
|
|
6,919
|
|
|||
Total Standish Mellon Stable Value Fund
|
|
3,597
|
|
|
67,588
|
|
|
71,185
|
|
|||
Total Carpenter Technology Master Trust
|
|
$
|
31,276
|
|
|
$
|
67,588
|
|
|
$
|
98,864
|
|
Dollars in thousands
|
|
|
|
|
|
|
|
|
|
|||
2014
|
|
Level 1
|
|
Level 2
|
|
Total
|
||||||
Carpenter Technology Stock Fund
|
|
$
|
46,632
|
|
|
$
|
—
|
|
|
$
|
46,632
|
|
Standish Mellon Stable Value Fund
|
|
|
|
|
|
|
|
|
|
|||
Short-term investment funds
|
|
5,204
|
|
|
—
|
|
|
5,204
|
|
|||
Traditional GICs
|
|
—
|
|
|
2,536
|
|
|
2,536
|
|
|||
Fixed maturity synthetic GICs:
|
|
|
|
|
|
|
|
|
||||
Corporate bonds
|
|
—
|
|
|
1,366
|
|
|
1,366
|
|
|||
U.S. Government securities
|
|
—
|
|
|
6,892
|
|
|
6,892
|
|
|||
Mortgage backed securities
|
|
—
|
|
|
1,573
|
|
|
1,573
|
|
|||
Other securities
|
|
—
|
|
|
576
|
|
|
576
|
|
|||
Constant duration synthetic GICs:
|
|
|
|
|
|
|
|
|
||||
Corporate bonds
|
|
—
|
|
|
31,479
|
|
|
31,479
|
|
|||
U.S. Government securities
|
|
—
|
|
|
8,358
|
|
|
8,358
|
|
|||
Mortgage backed securities
|
|
—
|
|
|
9,728
|
|
|
9,728
|
|
|||
Asset backed securities
|
|
—
|
|
|
6,804
|
|
|
6,804
|
|
|||
Total Standish Mellon Stable Value Fund
|
|
5,204
|
|
|
69,312
|
|
|
74,516
|
|
|||
Total Carpenter Technology Master Trust
|
|
$
|
51,836
|
|
|
$
|
69,312
|
|
|
$
|
121,148
|
|
Dollars in thousands
|
December 31, 2015
|
|
December 31, 2014
|
||||
Net assets available for benefits at contract value, per the financial statements
|
$
|
472,226
|
|
|
$
|
524,805
|
|
Adjustment from contract value to fair value for fully benefit-responsive investment contracts
|
548
|
|
|
1,411
|
|
||
Net assets available for benefits at fair value, per the Form 5500
|
$
|
472,774
|
|
|
$
|
526,216
|
|
|
|
|
|
||||
Dollars in thousands
|
Year Ended December 31, 2015
|
|
|
|
|||
Investment (loss), per the financial statements
|
$
|
(16,125
|
)
|
|
|
|
|
Change in adjustment from contract value to fair value
for fully benefit-responsive investment contracts |
(863
|
)
|
|
|
|
||
Investment (loss), per the Form 5500
|
$
|
(16,988
|
)
|
|
|
|
Schedule of Assets (Held at End of Year)
|
EIN: 23-0458500
|
|
Form 5500 - Schedule H - Line 4(i)
|
PN: 020
|
|
December 31, 2015
|
|
(a)
|
(b)
|
(c)
|
(e)
|
||
|
Identity of Issue, Borrower,
Lessor or Similar Party |
Description of Investment, including Maturity Date,
Interest Rate, Collateral, Par or Maturity Value |
Current
Value |
||
|
Registered Investment Companies:
|
|
|
||
|
American Funds
|
American Funds EuroPacific Growth Fund; Class R-6
|
$
|
16,374,000
|
|
|
Dodge & Cox
|
Dodge & Cox Stock Fund
|
14,815,000
|
|
|
|
Prudential
|
Prudential Total Return Bond Fund; Class Q
|
24,584,000
|
|
|
|
T. Rowe Price
|
T. Rowe Price Inst Large Cap Growth Fund; Inst Class
|
15,326,000
|
|
|
*
|
Vanguard
|
Vanguard Institutional Index Fund
|
78,668,000
|
|
|
*
|
Vanguard
|
Vanguard Mid-Cap Index Fund; Institutional Shares
|
25,666,000
|
|
|
*
|
Vanguard
|
Vanguard Prime Money Market Fund
|
10,580,000
|
|
|
*
|
Vanguard
|
Vanguard Small-Cap Index Fund; Institutional Shares
|
18,344,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2010 Fund
|
2,049,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2015 Fund
|
19,439,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2020 Fund
|
13,738,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2025 Fund
|
32,949,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2030 Fund
|
6,385,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2035 Fund
|
18,707,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2040 Fund
|
1,533,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2045 Fund
|
11,678,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2050 Fund
|
347,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2055 Fund
|
1,440,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement 2060 Fund
|
338,000
|
|
|
*
|
Vanguard
|
Vanguard Target Retirement Income
|
5,183,000
|
|
|
*
|
Vanguard
|
Vanguard Total Bond Market Index Fund; Admiral Shares
|
23,759,000
|
|
|
*
|
Vanguard
|
Vanguard Total International Stock Index Fund; Inst Shares
|
26,964,000
|
|
|
|
Wasatch Computer Tech
|
Wasatch Core Growth Fund; Institutional Class Shares
|
1,943,000
|
|
|
|
Total Registered Investment Companies
|
$
|
370,809,000
|
|
|
*
|
Participant Loans
|
Loans to Participants - Interest rate range 4.25 - 9.25%
|
$
|
12,036,000
|
|
|
Total
|
|
$
|
382,845,000
|
|
Note: Cost information not been included because all investments are participant-directed
|
|||||
*
|
indicates Party-in-Interest
|
|
Savings Plan of Carpenter Technology Corporation
|
|
(Name of Plan)
|
|
|
June 20, 2016
|
/s/ Damon J. Audia
|
|
Damon J. Audia
|
|
Senior Vice President and
|
|
Chief Financial Officer
|
|
|
|
(Principal Financial Officer
)
|
Exhibit
No.
|
|
Description
|
|
|
|
23.1
|
|
Consent of Independent Registered Public Accounting Firm
|
1 Year Carpenter Technology Chart |
1 Month Carpenter Technology Chart |
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