SEC Form 4 · accession 0000899243-15-004399
CASTLE A M & CO · CTAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
SH Capital Partners, L.P.
10% Owner
Stone House Capital Management, LLC
10% Owner
Mark Alexander Cohen
10% Owner
Period of report
Sep 1, 2015
Accepted (ET)
Sep 3, 2015 · 10:57 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018172
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4 | Sep 1, 2015 | P$0 | 28,373 | — | A | 4,000,000 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares of common stock of A.M. Castle & Co. (the "Shares") are directly beneficially owned by SH Capital Partners, L.P. ("Partners"), of which Stone House Capital Management, LLC ("Stone House") is the sole general partner and investment manager. Mark Cohen is the managing member of Stone House. On September 1, 2015, Mr. Cohen made a capital contribution of $500,000 to Partners, resulting in the acquisition by Mr. Cohen of an additional approximate .709% limited partner interest in Partners. Each of Stone House and Mr. Cohen disclaims beneficial ownership of the securities owned by Partners except to the extent of the pecuniary interest of Stone House and Mr. Cohen, respectively, therein.
- F2This statement is jointly filed by and on behalf of each of Stone House, Partners and Mr. Cohen. Partners is the record and direct beneficial owner of the securities covered by this statement. Stone House is the general partner and investment manager of, and may be deemed to beneficially own securities owned by, Partners. Mr. Cohen is the managing member of, and may be deemed to beneficially own securities owned by, Stone House.
- F3Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
- F4Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer.
Remarks
Exhibit Index Exhibit 99.1 - Joint Filer Information (filed herewith) Exhibit 99.2 - Joint Filing Agreement (filed herewith)