SEC Form 4 · accession 0000921895-16-006179
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
Nov 9, 2016
Accepted (ET)
Nov 14, 2016 · 7:30 pm EST
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 | Nov 9, 2016 | S | 69,650 | $0.524 | D | 3,930,350 | I | See Footnotes |
| Common StockF1,F2,F3 | Nov 10, 2016 | S | 139,039 | $0.5313 | D | 3,791,311 | I | See Footnotes |
| Common StockF1,F2,F3 | Nov 11, 2016 | S | 160,037 | $0.509 | D | 3,631,274 | I | See Footnotes |
| Common StockF1,F2,F3 | Nov 14, 2016 | S | 79,339 | $0.4962 | D | 3,551,935 | I | See Footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This statement is jointly filed by and on behalf of each of Stone House Capital Management, LLC ("Stone House"), SH Capital Partners, L.P. ("Partners") and Mark 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.
- F2Each 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.
- F3Each 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.