SEC Form 3 · accession 0001567619-18-008451
CASTLE A M & CO · CTAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark D Zundel
Officer — EVP, Global Supply & Aerospace
Period of report
Dec 11, 2018
Accepted (ET)
Dec 20, 2018 · 5:33 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 | holding | — | — | — | 54,980 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible NotesF2 | $3.77 | holding | — | — | — | Aug 31, 2017 | Aug 31, 2022 | Common Stock | 21,756 | — | D |
Explanation of responses
- F1Represents restricted stock granted by the Issuer pursuant to the A.M. Castle & Co. 2017 Management Incentive Plan (the "Plan"). The restricted stock vests in full on August 31, 2020.
- F2Represents an aggregate amount of $82,023 of Second Lien Notes (the "Notes") granted under the Plan on August 31, 2017 and includes $5,943 of PIK interest pursuant to the terms of the Notes.