13D Filing: Highbridge Capital Management and Castle AM & Co (CASLQ)

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Page 2 of 15 – SEC Filing

1

NAME OF REPORTING PERSON

Highbridge Capital Management, LLC

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) ☐

(b) ☒

3 SEC USE ONLY
4

SOURCE OF FUNDS

OO

5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
6

CITIZENSHIP OR PLACE OF ORGANIZATION

State of Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
7

SOLE VOTING POWER

0

8

SHARED VOTING POWER

509,105

9

SOLE DISPOSITIVE POWER

0

10

SHARED DISPOSITIVE POWER

509,105

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON

509,105

12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

13.6%

14

TYPE OF REPORTING PERSON

IA, OO

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