SEC Form 4 · accession 0001140361-16-083798
CASTLE A M & CO · CTAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Paul Schwind
Officer — Controller, CAO
Period of report
Oct 25, 2016
Accepted (ET)
Oct 27, 2016 · 5:45 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1,F3,F2 | $0.54 | Oct 25, 2016 | A | 43,100 | A | Oct 25, 2017 | Oct 25, 2026 | Common Stock | 43,100 | 43,100 | D |
| Restricted Stock UnitF4 | — | holding | — | — | — | Dec 31, 2017 | Dec 31, 2017 | Common Stock | 3,658 | 3,658 | D |
Explanation of responses
- F1Stock options granted by Issuer pursuant to the A.M. Castle & Co. 2016-2018 Long-Term Compensation Plan.
- F2These options vest in three equal annual installments beginning on the first anniversary of the date of the grant.
- F3As of October 25, 2016, Reporting Person owns options to purchase an aggregate of 53,552 shares of Issuer's common stock.
- F4Each restricted stock unit represents a contingent right to receive one share of common stock of A.M. Castle & Co.