0000902664-18-002504.txt : 20180607
0000902664-18-002504.hdr.sgml : 20180607
20180607174843
ACCESSION NUMBER: 0000902664-18-002504
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180605
FILED AS OF DATE: 20180607
DATE AS OF CHANGE: 20180607
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HIGHBRIDGE CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0000919185
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05415
FILM NUMBER: 18887585
BUSINESS ADDRESS:
STREET 1: 40 WEST 57TH ST.
STREET 2: 32ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 2122874900
MAIL ADDRESS:
STREET 1: 40 WEST 57TH ST.
STREET 2: 32ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10019
FORMER NAME:
FORMER CONFORMED NAME: HIGHBRIDGE CAPITAL MANAGEMENT INC /NY
DATE OF NAME CHANGE: 19980610
FORMER NAME:
FORMER CONFORMED NAME: DUBIN & SWIECA ASSET MANAGEMENT INC
DATE OF NAME CHANGE: 19950817
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: 1992 MSF International Ltd.
CENTRAL INDEX KEY: 0001308315
STATE OF INCORPORATION: E9
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05415
FILM NUMBER: 18887586
BUSINESS ADDRESS:
STREET 1: THE CAYMAN CORPORATE CENTRE, 4TH FLOOR
STREET 2: 27 HOSPITAL ROAD
CITY: GRAND CAYMAN
STATE: E9
ZIP: 00000
BUSINESS PHONE: 345-945-1400
MAIL ADDRESS:
STREET 1: C/O HEDGESERV (CAYMAN) LTD.
STREET 2: WILLOW HOUSE, CRICKET SQUARE 3RD FLOOR
CITY: , GEORGE TOWN, GRAND CAYMAN
STATE: E9
ZIP: 00000
FORMER NAME:
FORMER CONFORMED NAME: Highbridge International LLC
DATE OF NAME CHANGE: 20041109
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CASTLE A M & CO
CENTRAL INDEX KEY: 0000018172
STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-METALS SERVICE CENTERS & OFFICES [5051]
IRS NUMBER: 360879160
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1420 KENSINGTON ROAD
STREET 2: SUITE 220
CITY: OAK BROOK
STATE: IL
ZIP: 60523
BUSINESS PHONE: 8474557111
MAIL ADDRESS:
STREET 1: 1420 KENSINGTON ROAD
STREET 2: SUITE 220
CITY: OAK BROOK
STATE: IL
ZIP: 60523
4
1
p18-1299form4.xml
OWNERSHIP DOCUMENT
X0306
4
2018-06-05
0
0000018172
CASTLE A M & CO
CTAM
0000919185
HIGHBRIDGE CAPITAL MANAGEMENT LLC
40 WEST 57TH ST.
32ND FLOOR
NEW YORK
NY
10019
0
0
1
0
0001308315
1992 MSF International Ltd.
C/O HEDGESERV (CAYMAN) LTD.
WILLOW HOUSE, CRICKET SQUARE 3RD FLOOR
GEORGE TOWN, GRAND CAYMAN
E9
00000
CAYMAN ISLANDS
0
0
1
0
5.0% / 7.0% Convertible Sr Secured PIK Toggle Notes due 2022
2018-06-05
4
P
0
2278524
2090545.77
A
Common Stock, par value $0.01 per share
604720
53991006
I
See footnote
The Convertible Notes are convertible into shares of Common Stock at an initial conversion rate of 0.2654 shares of Common Stock per $1.00 principal amount of Convertible Notes (subject to adjustment in certain circumstances in accordance with the terms of the Convertible Notes).
The Issuer's 5.00% / 7.00% Convertible Senior Secured PIK Toggle Notes due 2022 (the "Convertible Notes") are convertible at the election of the holder at any time prior to the close of business on the trading day immediately preceding August 31, 2022, the maturity date of the Convertible Notes.
Upon conversion of the Convertible Notes, the settlement of the conversion right may, at the option of the Issuer, be in the form of shares of Common Stock, cash or a combination of cash and shares of Common Stock.
Includes $2,053,185 principal amount of Convertible Notes received as payment-in-kind interest.
The securities reported herein are held by (i) 1992 MSF International Ltd., a Cayman Islands exempted company ("MSF International") and (ii) 1992 Tactical Credit Master Fund, L.P., a Cayman Islands exempted limited partnership ("1992 Tactical" and together with MSF International, the "Funds"). Highbridge Capital Management, LLC ("HCM") serves as the trading manager of the Funds. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of such Reporting Person's pecuniary interest therein.
Highbridge Capital Management, LLC, By: /s/ John Oliva, its Managing Director
2018-06-07
1992 MSF International Ltd., By: Highbridge Capital Management, LLC, its Trading Manager, By: /s/ John Oliva, its Managing Director
2018-06-07