0001140361-17-034379.txt : 20170905 0001140361-17-034379.hdr.sgml : 20170905 20170905211509 ACCESSION NUMBER: 0001140361-17-034379 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: Edgar Marec Elden CENTRAL INDEX KEY: 0001603348 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05415 FILM NUMBER: 171070097 MAIL ADDRESS: STREET 1: 1420 KENSINGTON ROAD STREET 2: SUITE 220 CITY: OAK BROOK STATE: IL ZIP: 60523 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 0001603348 Edgar Marec Elden 1420 KENSINGTON ROAD SUITE 220 OAK BROOK IL 60523 0 1 0 0 EVP, GC, Sec & Chief Admin Off Common Stock 2017-08-31 4 J 0 8443 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 0 104 0 A 320965 D Convertible Notes 3.77 2017-08-31 4 A 0 444000 0 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 11,454 unvested restricted stock units and 229,273 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/ Marec E. Edgar 2017-09-05