UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Convertible Notes | 08/31/2017 | 08/31/2022 | Common Stock | 21,756 (2) | $ 3.77 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zundel Mark D 1420 KENSINGTON ROAD SUITE 220 OAK BROOK, IL 60523 |
 |  |  EVP, Global Supply & Aerospace |  |
/s/ Mark D. Zundel, By: Michelle McIntosh, Attorney-in-Fact | 12/20/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Represents restricted stock granted by the Issuer pursuant to the A.M. Castle & Co. 2017 Management Incentive Plan (the "Plan"). The restricted stock vests in full on August 31, 2020. |
(2) | Represents an aggregate amount of $82,023 of Second Lien Notes (the "Notes") granted under the Plan on August 31, 2017 and includes $5,943 of PIK interest pursuant to the terms of the Notes. |