FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
CASTLE A M & CO [ CAS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 05/29/2007 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock(1) | 05/30/2007 | I | 1,446(1) | A | $34.58 | 3,219 | D | |||
Common Stock | 05/29/2007 | P | 75,050.96 | A | $0(2) | 85,596.96(3) | I | Note 1 | ||
Common Stock | 05/29/2007 | S | 75,050.96 | D | $31.1 | 10,546(3) | I | Note 1 | ||
Preferred Stock | 05/29/2007 | S | 500 | D | $0(2) | 0 | I | Note 1 | ||
Common Stock | 05/29/2007 | P | 56,288.22 | A | $0(4) | 79,069.22(5) | I | Note 2 | ||
Common Stock | 05/29/2007 | S | 56,288.22 | D | $31.1 | 22,781(5) | I | Note 2 | ||
Preferred Stock | 05/29/2007 | S | 375 | D | $0(4) | 0 | I | Note 2 | ||
Common Stock | 262,433(6) | I | Note 3 | |||||||
Common Stock | 20,992(7) | I | Note 4 | |||||||
Common Stock | 05/29/2007 | P | 15,010.19 | A | $0(8) | 264,378.19(9)(10) | I | Note 5 | ||
Common Stock | 05/29/2007 | J(11) | 91,496 | D | $0(11) | 172,882.19(9)(10) | I | Note 5 | ||
Common Stock | 05/29/2007 | S | 15,010.19 | D | $31.1 | 157,872(9)(10) | I | Note 5 | ||
Preferred Stock | 05/29/2007 | S | 100 | D | $0(8) | 0 | I | Note 5 |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options (Right to buy) | $7.05 | 10/04/2003 | 10/04/2012 | Common Stock | 6,000 | 6,000 | D | ||||||||
Stock Options (Right to buy) | $8.52 | 06/01/2005 | 06/01/2014 | Common Stock | 7,500 | 7,500 | D | ||||||||
Stock Options (Right to buy) | $10 | 07/27/2001 | 07/27/2010 | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Options (Right to buy) | $10.35 | 06/03/2003 | 06/03/2012 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Options (Right to buy) | $11 | 07/26/2002 | 07/26/2011 | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Options (Right to buy) | $14.22 | 07/01/2006 | 07/01/2015 | Common Stock | 7,500 | 7,500 | D |
Explanation of Responses: |
1. Restricted stock awarded to Directors as of April 27, 2007 valued at closing common stock price on April 27, 2007 with one year vesting. |
2. The reporting person converted 500 shares of Convertible Preferred Stock on May 29, 2007 at a conversion price of $6.69 per share plus accrued interest resulting in his acquisiton of 75,050.96 shares of common stock. The Convertible Preferred Stock had a face value of $1,000 per share and was convertible into common stock at a conversion price of $6.69 per share of preferred stock. The convertible preferred stock was convertible into common stock at any time by the holder on a 149.4768 for one basis plus accrued interest at the same conversion rate and had no expiration date. |
3. Note 1 - Beneficiary under Trust dated 12/07/1949 United States Trust Co., Trustee |
4. The reporting person converted 375 shares of Convertible Preferred Stock on May 29, 2007 at a conversion price of $6.69 per share, resulting in his acquisition of 56,288.22 shares of common stock. The Convertible Stock had a face value of $1,000 per share and was convertible into common stock at a conversion price of $6.69 per share of preferred stock. The convertible preferred stock was convertible into common stock at any time by the holder on a 149.4768 for one basis plus accured interest at the same conversation rate and had no expiration date. |
5. Note 2 - Beneficiary under Trust dated 07/24/1968 United States Trust Co., Trustee |
6. Note 3 - Beneficiary under Trust dated 07/26/1972 United States Trust Co., and Patrick J. Herbert, III, Trustee |
7. Note 4 - Beneficiary under Trust dated 12/23/1976 Northern Trust Co., Trustee |
8. The reporting person converted 100 shares of Convertible Preferred Stock on May 29, 2007 at a conversion price of $6.69 per share plus accrued interest resulting in his acquisition of 15,010.19 shares of common stock. The Convertible Stock had a face value of $1,000 per share and was convertible into common stock at a conversion price of $6.69 per share of preferred stock. The convertible preferred stock was convertible into common stock at any time by the holder on a 149.4768 for one basis plus accrued interest at the same conversion rate and had no expiration date. |
9. Note 5 - Beneficiary under Trust dated 12/19/80, Patrick J. Herbert, III, Trustee (stock acquired by Trust) |
10. Note 5 - Beneficiary under Trust dated 12/19/80, Patrick J. Herbert, III, Trustee (stock acquired by Trust) |
11. Adjusted to reflect actual number of shares in which Mr. Simpson has a beneficial interest - not the number of shares held by the Trust. |
Jerry M. Aufox | 05/30/2007 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |