SEC Form 4 · accession 0001140361-17-014681
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
Apr 1, 2017
Accepted (ET)
Apr 4, 2017 · 5:15 pm EDT
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 | Apr 1, 2017 | M | 5,088 | — | A | 10,025 | D | |
| Common StockF2 | Apr 1, 2017 | F | 1,582 | $0.30 | D | 8,443 | 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 UnitsF1 | — | Apr 1, 2017 | M | 5,088 | D | Apr 1, 2017 | Apr 1, 2017 | Common Stock | 5,088 | 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 April 1, 2017.
- F2As of April 1, 2017, Reporting Person also owns options to purchase an aggregate of 229,273 shares of Issuer's common stock. Reporting Person also owns 11,454 unvested restricted stock units.