SEC Form 4 · accession 0001140361-17-000504
CASTLE A M & CO · CTAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marec Elden Edgar
Officer — EVP, GC, Sec & Chief Admin Off
Period of report
Dec 31, 2016
Accepted (ET)
Jan 4, 2017 · 6:00 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,F2 | Dec 31, 2016 | M | 4,937 | — | A | 4,937 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1 | — | Dec 31, 2016 | M | 4,937 | D | Dec 31, 2016 | Dec 31, 2016 | Common Stock | 4,937 | 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.
- F2As of December 31, 2016, Reporting Person also owns options to purchase an aggregate of 229,273 shares of Issuer's common stock. Reporting Person also owns 16,542 unvested restricted stock units.