0001104659-20-041570.txt : 20200401 0001104659-20-041570.hdr.sgml : 20200401 20200401085442 ACCESSION NUMBER: 0001104659-20-041570 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: Zundel Mark D CENTRAL INDEX KEY: 0001758413 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05415 FILM NUMBER: 20763850 MAIL ADDRESS: STREET 1: 1420 KENSINGTON ROAD STREET 2: SUITE 220 CITY: OAK BROOK STATE: IL ZIP: 60523 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 0001758413 Zundel Mark D 1420 KENSINGTON ROAD SUITE 220 OAK BROOK IL 60523 0 1 0 0 EVP, Global Supply & Aerospace Common Stock 2020-03-27 4 A 0 73477 A 128485 D Convertible Note 3.77 2020-03-27 4 D 0 90964 D 2017-08-31 2020-08-31 Common Stock 24133 0 D Convertible Note 3.77 2020-03-27 4 D 0 111308 D 2020-03-25 2022-08-30 Common Stock 29530 0 D Convertible Note 0.46 2020-03-27 4 A 0 99490 A 2020-03-27 2022-08-30 Common Stock 218277 99490 D Reflects the disposition of an aggregate principal amount (including accrued PIK interest) of $202,272 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 $99,490 of the Company's new 3.00%/5.00% Convertible Senior PIK Toggle Notes due 2024 (the "New Notes") and (ii) 73,477 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 218,277 shares of common stock as of the date of this filing. The restricted New Notes and restricted New Shares vest in shares proportionate to the tendered Old Notes on August 31, 2020 and August 30, 2022. /s/ Mark D. Zundel, by Jeremy Steele, Attorney-in-Fact 2020-04-01