-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, GuiyITUSluLt9DuD6DesWPQvjGhNPWs45ZKuWJ1D7fx8cHWh5Wt3QLEPPjXPNcMg xogbw+CjZStk5DlaKTia8A== 0001140361-10-013108.txt : 20100322 0001140361-10-013108.hdr.sgml : 20100322 20100322164740 ACCESSION NUMBER: 0001140361-10-013108 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100318 FILED AS OF DATE: 20100322 DATE AS OF CHANGE: 20100322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GARRETT THOMAS L CENTRAL INDEX KEY: 0001329833 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05415 FILM NUMBER: 10696954 MAIL ADDRESS: STREET 1: 3400 N. WOLF ROAD CITY: FRANKLIN PARK STATE: IL ZIP: 60131 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: 1207 BUSINESS ADDRESS: STREET 1: 3400 N WOLF RD CITY: FRANKLIN PARK STATE: IL ZIP: 60131 BUSINESS PHONE: 7084557111 MAIL ADDRESS: STREET 1: 3400 N WOLF RD CITY: FRANKLIN PARK STATE: IL ZIP: 60131 4 1 doc1.xml FORM 4 X0303 4 2010-03-18 0 0000018172 CASTLE A M & CO CAS 0001329833 GARRETT THOMAS L 3400 NORTH WOLF ROAD FRANKLIN PARK IL 60131 0 1 0 0 Pres., Total Plastics, Inc. Common Stock 14836 D Common Stock 1398.59 I Through 401(k) Plan Restricted Stock Units 2010-03-18 4 A 0 3200 0 A Common Stock 3200 3200 D Performance Share Unit 2010-03-18 4 A 0 3200 0 A Common Stock 3200 3200 D Employee Stock Option (right to buy) 12.79 2010-03-18 4 A 0 6300 0 A 2013-03-18 2018-03-17 Common Stock 6300 6300 D Between February 24, 2009 and February 28, 2010 the reporting person acquired 8.17 shares of A. M. Castle & Co. common stock under the A. M. Castle & Co. 401(k) Plan. The information in this report is based upon a plan statement dated as of February 28, 2010. Each restricted stock unit represents a contingent right to receive one share of common stock of A. M. Castle & Co. (the "Company"). The restricted stock units vest in full on December 31, 2012, provided the reporting person is employed by A. M. Castle & Co. on the vesting date. Each performance share unit (PSU) represents a contingent right to receive one share of A. M. Castle & Co. common stock. The grant amount of 3,200 PSUs assumes 100% vesting. Since payout for PSUs can range from 0% to 200%, the maximum number of shares that could vest and be distributed is 6,400. The PSUs will vest on December 31, 2012, if the reporting person remains employed by the Company over the performance period and the Company determines that it achieved certain total shareholder return ("TSR") performance goals. The performance period begins on January 1, 2010 and ends December 21, 2012. Once vested, payout for PSU's can range from 0% to 200% based on the Company's relative TSR over the performance period as compared to a group of peer companies. TSR is measured generally as the increase or decrease in the market value of Company common stock including the reinvestment of dividends. Robert J. Perna, Attorney-in-Fact 2010-03-22 -----END PRIVACY-ENHANCED MESSAGE-----