0000921895-16-006179.txt : 20161114
0000921895-16-006179.hdr.sgml : 20161111
20161114193014
ACCESSION NUMBER: 0000921895-16-006179
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161109
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161114
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: 1103
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Cohen Mark Alexander
CENTRAL INDEX KEY: 0001591240
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05415
FILM NUMBER: 161997386
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SH Capital Partners, L.P.
CENTRAL INDEX KEY: 0001497279
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05415
FILM NUMBER: 161997387
BUSINESS ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 543-1500
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Stone House Capital Management, LLC
CENTRAL INDEX KEY: 0001589943
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05415
FILM NUMBER: 161997388
BUSINESS ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: (212) 543-1500
MAIL ADDRESS:
STREET 1: 950 THIRD AVENUE
STREET 2: 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
4
1
form410977001_11142016.xml
OWNERSHIP DOCUMENT
X0306
4
2016-11-09
0
0000018172
CASTLE A M & CO
CAS
0001589943
Stone House Capital Management, LLC
950 THIRD AVENUE, 17TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001497279
SH Capital Partners, L.P.
950 THIRD AVENUE, 17TH FLOOR
NEW YORK
NY
10022
0
0
1
0
0001591240
Cohen Mark Alexander
950 THIRD AVENUE, 17TH FLOOR
NEW YORK
NY
10022
0
0
1
0
Common Stock
2016-11-09
4
S
0
69650
0.524
D
3930350
I
See Footnotes
Common Stock
2016-11-10
4
S
0
139039
0.5313
D
3791311
I
See Footnotes
Common Stock
2016-11-11
4
S
0
160037
.509
D
3631274
I
See Footnotes
Common Stock
2016-11-14
4
S
0
79339
.4962
D
3551935
I
See Footnotes
This statement is jointly filed by and on behalf of each of Stone House Capital Management, LLC ("Stone House"), SH Capital Partners, L.P. ("Partners") and Mark Cohen. Partners is the record and direct beneficial owner of the securities covered by this statement. Stone House is the general partner and investment manager of, and may be deemed to beneficially own securities owned by, Partners. Mr. Cohen is the managing member of, and may be deemed to beneficially own securities owned by, Stone House.
Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities.
Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer.
STONE HOUSE CAPITAL MANAGEMENT, LLC, By: /s/ Mark Cohen, Name: Mark Cohen, Title: Managing Member
2016-11-14
SH CAPITAL PARTNERS, L.P., By: Stone House Capital Management, LLC, Its: General Partner, By: /s/ Mark Cohen, Name: Mark Cohen, Title: Managing Member
2016-11-14
MARK COHEN, /s/ Mark Cohen
2016-11-14