0001104659-20-041569.txt : 20200401
0001104659-20-041569.hdr.sgml : 20200401
20200401085412
ACCESSION NUMBER: 0001104659-20-041569
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200327
FILED AS OF DATE: 20200401
DATE AS OF CHANGE: 20200401
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Steele Jeremy T.
CENTRAL INDEX KEY: 0001449688
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05415
FILM NUMBER: 20763847
MAIL ADDRESS:
STREET 1: GARDNER DENVER, INC.
STREET 2: 1800 GARDNER EXPRESSWAY
CITY: QUINCY
STATE: IL
ZIP: 62305
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: A. M. Castle & 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
FORMER COMPANY:
FORMER CONFORMED NAME: CASTLE A M & CO
DATE OF NAME CHANGE: 19920703
4
1
a4.xml
4
X0306
4
2020-03-27
0
0000018172
A. M. Castle & Co.
CTAM
0001449688
Steele Jeremy T.
1420 KENSINGTON ROAD
SUITE 220
OAK BROOK
IL
60523
0
1
0
0
SVP, General Counsel & Sec.
Common Stock
2020-03-27
4
A
0
20217
A
35217
D
Convertible Note
3.77
2020-03-27
4
D
0
55654
D
2020-03-25
2022-08-30
Common Stock
14765
0
D
Convertible Note
0.46
2020-03-27
4
A
0
27374
A
2020-03-27
2022-08-30
Common Stock
60057
27374
D
Reflects the disposition of an aggregate principal amount (including accrued PIK interest) of $55,654 of the Company's 5.00%/7.00% Convertible Senior PIK Toggle Notes due 2022 (the "Old Notes") in exchange for a combination of (i) an aggregate principal amount of $27,374 of the Company's new 3.00%/5.00% Convertible Senior PIK Toggle Notes due 2024 (the "New Notes") and (ii) 20,217 shares of the Company's common stock ("New Shares"), pursuant to a public exchange offer launched by the Company on February 27, 2020 and completed on March 27, 2020. The Old Notes were restricted incentive awards issued pursuant to the Company's 2017 Management Incentive Plan (the "Plan"). The New Notes are convertible into 60,057 shares of common stock as of the date of this filing. The restricted New Notes and restricted New Shares vest in full on August 30, 2022.
/s/ Jeremy Steele
2020-04-01