SEC Form 4 · accession 0001140361-16-046369
CASTLE A M & CO · CTAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ronald E Knopp
Officer — EVP, Chief Operating Officer
Period of report
Dec 31, 2015
Accepted (ET)
Jan 5, 2016 · 8:30 am 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, 2015 | M | 2,700 | — | A | 8,207 | D | |
| Common Stock | Dec 31, 2015 | F | 839 | $1.59 | D | 7,368 | D | |
| Common StockF2 | holding | — | — | — | 8,976 | 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, 2015 | M | 2,700 | D | Dec 31, 2015 | Dec 31, 2015 | Common Stock | 2,700 | 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, 2015.
- F2Between December 31, 2014 and December 31, 2015, the reporting person's balance decreased by 20.79 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, 2015.