Form4insider filings, from the source

SEC Form 4 · accession 0000899243-17-021455

CASTLE A M & CO · CTAM

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owners
WB & CO
Director · 10% Owner
Reuben Simpson Donnelley
Director · 10% Owner
FOM Corp
Director · 10% Owner
Jonathan Mellin
Director · 10% Owner
SGF, LLC
Director · 10% Owner
Period of report
Aug 31, 2017
Accepted (ET)
Sep 5, 2017 · 5:50 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018172

Table I — non-derivative securities

SecurityDateCodeSharesPriceA/DOwned afterD/INature of ownership
Common StockF1Aug 31, 2017J8,759,076$0.00D0D
Common StockF1Aug 31, 2017J107,850$0.00A107,850D
Common StockF2Aug 31, 2017J153,990$0.00D0D
Common StockF2Aug 31, 2017J1,231$0.00A1,231D
Common StockF3Aug 31, 2017J33,471$0.00D0D
Common StockF3Aug 31, 2017J412$0.00A412D
Common StockF4,F9Aug 31, 2017J14,739$0.00D0ISee Footnote
Common StockF4,F9Aug 31, 2017J181$0.00A181ISee Footnote
Common StockF5Aug 31, 2017J0$0.00D0D
Common StockF5Aug 31, 2017J0$0.00A0D

Table II — derivative securities

SecurityConv. / exercise priceDateCodeSharesA/DExercisableExpiresUnderlyingUnderlying sharesOwned afterD/I
Exchange NotesF6,F10$0.2654Aug 31, 2017A17,775,807AAug 31, 2017Aug 31, 2022Common Stock4,717,69917,775,807D
New Money NotesF6,F11$0.2654Aug 31, 2017A7,125,323AAug 31, 2017Aug 31, 2022Common Stock1,891,0617,125,323D

Explanation of responses

Remarks

The Reporting Persons are all associated with an extended family group and various trusts, estates and estate planning vehicles established by certain deceased and surviving family members. Mr. Mellin acts in various capacities with respect to the family interests and has been deputized by certain family members, trusts, estates and estate planning vehicles (the "Deputizing Persons"), including the Reporting Persons, to serve on the board of directors of the reorganized Issuer. The Reporting Persons (together with certain of the other Deputizing Persons) may be deemed to constitute a group pursuant to Rule 13d-5(b) of the Securities Exchange Act of 1934. Each Reporting Person disclaims beneficial ownership of any shares of New Common Stock held by any other Reporting Person or Deputizing Person, except to the extent of any pecuniary interest such Reporting Person may have. Pursuant to the Plan, the Reporting Persons entered into a Stockholders Agreement by and among the Issuer, the Reporting Persons and certain other holders of New Common Stock (the "Stockholders Agreement"). The Stockholders Agreement provides, among other things, for the election of directors to the reorganized Issuer's board, for preemptive rights for certain stockholders, and for certain provisions relating to the sale or transfer of New Common Stock by the parties to the Stockholders Agreement. The Reporting Persons may be deemed as part of a group consisting of the stockholder parties to the Stockholders Agreement. Each Reporting Person disclaims beneficial ownership of any shares of New Common Stock held by any other party to the Stockholders Agreement, except to the extent of any pecuniary interest such Reporting Person may have.