SEC Form 4 · accession 0001140361-17-000499
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, 2016
Accepted (ET)
Jan 4, 2017 · 5:56 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, 2016 | M | 3,632 | — | A | 12,281 | D | |
| Common Stock | Dec 31, 2016 | F | 1,129 | $0.252 | D | 11,152 | D | |
| Common StockF2 | holding | — | — | — | 8,958 | I | Retirement Account |
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,F3 | — | Dec 31, 2016 | M | 3,632 | D | Dec 31, 2016 | Dec 31, 2016 | Common Stock | 3,632 | 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, 2016.
- F2Between January 1, 2016 and December 31, 2016, Reporting Person's balance decreased by 18.286 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, 2016.
- F3As of December 31, 2016, Reporting Person also owns options to purchase an aggregate of 202,605 shares of Issuer's common stock. Reporting Person also owns 9,147 unvested restricted stock units.