SEC Form 4 · accession 0001140361-15-000308
CASTLE A M & CO · CTAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas L Garrett
Officer — Pres., Total Plastics, Inc.
Period of report
Dec 31, 2014
Accepted (ET)
Jan 5, 2015 · 1:55 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 | Dec 31, 2014 | M | 3,700 | — | A | 17,594 | D | |
| Common Stock | Dec 31, 2014 | F | 1,135 | $7.98 | D | 16,459 | D | |
| Common StockF2 | holding | — | — | — | 6,171 | I | See Note |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1 | — | Dec 31, 2014 | M | 3,700 | D | Dec 31, 2014 | Dec 31, 2014 | Common Stock | 3,700 | 0 | D |
Explanation of responses
- F1Each restricted stock unit converted into a share of A.M. Castle & Co. common stock on a one-for-one basis upon vesting on December 31, 2014.
- F2Between March 13, 2014, and December 31, 2014, the reporting person's balance decreased by 3.86 shares of common stock under the A.M. Castle & Co. 401(k) Plan. The information in this report is based upon a plan statement dated as of December 31, 2014.
Remarks
Exhibit 24: Power of Attorney