0001383591-20-000008.txt : 20200114 0001383591-20-000008.hdr.sgml : 20200114 20200114141314 ACCESSION NUMBER: 0001383591-20-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200101 FILED AS OF DATE: 20200114 DATE AS OF CHANGE: 20200114 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Scheinkman Steven W. CENTRAL INDEX KEY: 0001383591 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05415 FILM NUMBER: 20525724 MAIL ADDRESS: STREET 1: C/O A.M CASTLE & CO. STREET 2: 1420 KENSINGTON ROAD, SUITE 220 CITY: OAK BROOK STATE: IL ZIP: 60523 FORMER NAME: FORMER CONFORMED NAME: Scheinkman Steve DATE OF NAME CHANGE: 20061214 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 wf-form4_157902917682719.xml FORM 4 X0306 4 2020-01-01 0 0000018172 A. M. Castle & Co. CTAM 0001383591 Scheinkman Steven W. 1420 KENSINGTON ROAD SUITE 220 OAK BROOK IL 60523 1 0 0 0 Common Stock 2020-01-01 4 J 0 607035 0 A 607127 D Convertible Notes 3.77 2020-01-01 4 J 0 987677 0 A 2017-08-31 2022-08-31 Common Stock 262031.0 987677 D Represents shares of the Issuer's common stock upon accelerated vesting of restricted stock that was granted on August 31, 2017 with a 3-year vesting period pursuant to the A.M. Castle & Co. Management Incentive Plan, which vesting accelerated to January 1, 2020 upon the Reporting Person's retirement as Chief Executive Officer of the Issuer in accordance with the terms of a Retirement Agreement and Release between the Reporting Person and the Issuer. Represents the Issuer's 5.00%/7.00% Convertible Senior Secured Paid-in-Kind Toggle Notes due 2022 that were granted to the Reporting Person on August 31, 2017 with a 3-year vesting period pursuant to the A.M. Castle & Co. Management Incentive Plan, which vesting accelerated to January 1, 2020 upon the Reporting Person's retirement as Chief Executive Officer of the Issuer in accordance with the terms of a Retirement Agreement and Release between the Reporting Person and the Issuer. Represents $840,000 in principal amount originally granted to the Reporting Person on August 31, 2017, plus accrued pain-in-kind interest through December 31, 2019. /s/ Steven W. Scheinkman, By: Jeremy Steele, Attorney-in-Fact 2020-01-14