0001140361-17-034378.txt : 20170905
0001140361-17-034378.hdr.sgml : 20170904
20170905211343
ACCESSION NUMBER: 0001140361-17-034378
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170831
FILED AS OF DATE: 20170905
DATE AS OF CHANGE: 20170905
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Anderson Patrick R.
CENTRAL INDEX KEY: 0001413322
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-05415
FILM NUMBER: 171070095
MAIL ADDRESS:
STREET 1: 3400 NORTH 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: 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
doc1.xml
FORM 4
X0306
4
2017-08-31
0
0000018172
CASTLE A M & CO
CASLQ
0001413322
Anderson Patrick R.
1420 KENSINGTON ROAD
SUITE 220
OAK BROOK
IL
60523
0
1
0
0
EVP, CFO & Treasurer
Common Stock
2017-08-31
4
J
0
22951
0
D
0
D
Common Stock
2017-08-31
4
A
0
320861
0.00
A
320861
D
Common Stock
2017-08-31
4
A
0
282
0
A
321143
D
Convertible Notes
3.77
2017-08-31
4
A
0
444000
0.00
A
2017-08-31
2022-08-31
Common Stock
117823
444000
D
On June 19, 2017, the Issuer and certain of its subsidiaries (collectively, the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the United States Code in the United States Bankruptcy Court for the District of Delaware (the "Bankruptcy Court"). On August 2, 2017, the Bankruptcy Court entered an order confirming the Debtors' prepackaged joint plan of reorganization, dated as of July 25, 2017 (as amended and supplemented from time to time, the "Plan"), and on August 31, 2017 (the "Effective Date"), the Plan became effective pursuant to its terms and the Debtors emerged from bankruptcy.
On the Effective Date, all outstanding shares of the Issuer's common stock, par value $0.01 per share (the "Old Common Stock"), and all options to purchase such Old Common Stock and all unvested restricted stock units with respect to such Old Common Stock, were cancelled and extinguished. The Reporting Person owned 7,394 unvested restricted stock units and 207,405 unexercised stock options that were cancelled pursuant to the Plan.
Represents restricted stock granted by the Issuer pursuant to the A.M. Castle & Co. Management Incentive Plan. The restricted stock vests in full on August 31, 2020.
New shares of the Issuer's common stock, par value $0.01 (the "New Shares"), were issued to the Reporting Person pursuant to the Plan in exchange for Old Common Stock held by the Reporting Person on the Effective Date under the Plan. The Reporting Person received 0.1231 New Shares for every share of Old Common Stock held by the Reporting Person on the Effective Date. The receipt of New Shares was involuntary, without consideration and in accordance with the Plan approved by the Bankruptcy Court.
/s/ Patrick R. Anderson, By: Marec E. Edgar, Attorney-in-Fact
2017-09-05