SEC Form 4 · accession 0001140361-15-028875
CASTLE A M & CO · CTAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marec Elden Edgar
Officer — EVP, GC, Secretary & CAO
Period of report
Jul 24, 2015
Accepted (ET)
Jul 28, 2015 · 5:07 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018172
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $3.92 | Jul 24, 2015 | A | 41,373 | A | — | Jul 23, 2025 | Common Stock | 41,373 | 41,373 | D |
| Employee Stock Option (right to buy)F2 | $3.92 | Jul 24, 2015 | A | 15,900 | A | — | Jul 23, 2025 | Common Stock | 15,900 | 15,900 | D |
Explanation of responses
- F1As awarded under the A.M. Castle & Co. 2015-2017 Long-Term Compensation Plan, one-third, or 13,791, options shall be vested on February 25, 2016, and exercisable on July 24, 2016, an additional one-third, or 13,791, options shall be vested and exercisable on February 25, 2017, and the final one-third, or 13,791, options shall be vested and exercisable on February 25, 2018, provided the Reporting Person is employed by A.M. Castle & Co. on each of the vesting dates.
- F2As awarded under the A.M. Castle & Co. 2015 Short-Term Incentive Plan, one-third, or 5,300, options shall be vested and exercisable on July 24, 2016, an additional one-third, or 5,300, options shall be vested and exercisable on July 24, 2017, and the final one-third, or 5,300, options shall be vested and exercisable on July 24, 2018, provided the Reporting Person is employed by A.M. Castle & Co. on each of the vesting dates.