Filing Details
- Accession Number:
- 0001140361-13-011499
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-08 15:25:14
- Reporting Period:
- 2013-03-06
- Filing Date:
- 2013-03-08
- Accepted Time:
- 2013-03-08 15:25:14
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 18172 | Castle A M & Co | CAS | Wholesale-Metals Service Centers & Offices (5051) | 360879160 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1329833 | L Thomas Garrett | 1420 Kensington Road Suite 220 Oak Brook IL 60523 | Pres., Total Plastics, Inc. | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2013-03-06 | 1,500 | $16.19 | 14,042 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-03-06 | 2,370 | $0.00 | 16,412 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-03-06 | 874 | $16.29 | 15,538 | No | 4 | F | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | F | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Performance Share Units | Disposition | 2013-03-06 | 2,370 | $0.00 | 2,370 | $0.00 |
| Common Stock | Restricted Stock Units | Acquisiton | 2013-03-06 | 2,900 | $0.00 | 2,900 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 0 | No | 4 | M | Direct | ||
| 2,900 | No | 4 | A | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 8,244 | Indirect | See Note |
Footnotes
- This transaction was executed in multiple trades at prices ranging from $16.18 to $16.21 per share. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
- Between November 30, 2012 and February 28, 2013, the reporting person acquired 539.77 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, 2013.
- Shares of common stock acquired pursuant to the payout of a performance share unit grant made on March 18, 2010 (the "PSU").
- Each PSU represented a contingent right to receive a share of A.M. Castle & Co. common stock upon achievement of certain total shareholder return ("TSR") performance goals set by the Human Resources Committee of the Board of Directors in 2010. The PSU paid out on March 6, 2013.
- Each restricted stock unit represents a contingent right to receive one share of common stock of A.M. Castle & Co.
- The restricted stock units vest in full on December 31, 2015, provided the reporting person is employed by A.M. Castle & Co. on the vesting date.
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