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4//SEC Filing

CASTLE A M & CO 4

Accession 0000018172-07-000036

CIK 0000018172operating
View on SEC.govCompany Profile

Filed

May 29, 8:00 PM ET

Accepted

May 30, 3:57 PM ET

Size

33.8 KB

Accession

0000018172-07-000036

Insider Transaction Report

Form 4
Period: 2007-05-29
CASTLE A M & COCAS
SIMPSON MICHAEL
Director
Transactions
  • Sale

    Common Stock

    2007-05-29$31.10/sh−15,010.19$466,817→ 157,872 total(indirect: Note 5)
  • Sale

    Common Stock

    2007-05-29$31.10/sh−75,050.96$2,334,085→ 10,546 total(indirect: Note 1)
  • Purchase

    Common Stock

    2007-05-29+75,050.96→ 85,596.96 total(indirect: Note 1)
  • Discretionary Transaction

    Common Stock

    2007-05-30$34.58/sh+1,446$50,003→ 3,219 total
  • Sale

    Preferred Stock

    2007-05-29−375→ 0 total(indirect: Note 2)
  • Sale

    Common Stock

    2007-05-29$31.10/sh−56,288.22$1,750,564→ 22,781 total(indirect: Note 2)
  • Sale

    Preferred Stock

    2007-05-29−100→ 0 total(indirect: Note 5)
  • Sale

    Preferred Stock

    2007-05-29−500→ 0 total(indirect: Note 1)
  • Purchase

    Common Stock

    2007-05-29+56,288.22→ 79,069.22 total(indirect: Note 2)
  • Purchase

    Common Stock

    2007-05-29+15,010.19→ 264,378.19 total(indirect: Note 5)
  • Other

    Common Stock

    2007-05-29−91,496→ 172,882.19 total(indirect: Note 5)
Holdings

  • Stock Options (Right to buy)

    Exercise: $10.00From: 2001-07-27Exp: 2010-07-27→ Common Stock (10,000 underlying)
    10,000

  • Common Stock

    (indirect: Note 3)
    262,433

  • Stock Options (Right to buy)

    Exercise: $8.52From: 2005-06-01Exp: 2014-06-01→ Common Stock (7,500 underlying)
    7,500

  • Stock Options (Right to buy)

    Exercise: $7.05From: 2003-10-04Exp: 2012-10-04→ Common Stock (6,000 underlying)
    6,000

  • Stock Options (Right to buy)

    Exercise: $10.35From: 2003-06-03Exp: 2012-06-03→ Common Stock (5,000 underlying)
    5,000

  • Common Stock

    (indirect: Note 4)
    20,992
Footnotes (11)
  • [F1]Restricted stock awarded to Directors as of April 27, 2007 valued at closing common stock price on April 27, 2007 with one year vesting.
  • [F10]Note 5 - Beneficiary under Trust dated 12/19/80, Patrick J. Herbert, III, Trustee (stock acquired by Trust)
  • [F11]Adjusted to reflect actual number of shares in which Mr. Simpson has a beneficial interest - not the number of shares held by the Trust.
  • [F2]The reporting person converted 500 shares of Convertible Preferred Stock on May 29, 2007 at a conversion price of $6.69 per share plus accrued interest resulting in his acquisiton of 75,050.96 shares of common stock. The Convertible Preferred Stock had a face value of $1,000 per share and was convertible into common stock at a conversion price of $6.69 per share of preferred stock. The convertible preferred stock was convertible into common stock at any time by the holder on a 149.4768 for one basis plus accrued interest at the same conversion rate and had no expiration date.
  • [F3]Note 1 - Beneficiary under Trust dated 12/07/1949 United States Trust Co., Trustee
  • [F4]The reporting person converted 375 shares of Convertible Preferred Stock on May 29, 2007 at a conversion price of $6.69 per share, resulting in his acquisition of 56,288.22 shares of common stock. The Convertible Stock had a face value of $1,000 per share and was convertible into common stock at a conversion price of $6.69 per share of preferred stock. The convertible preferred stock was convertible into common stock at any time by the holder on a 149.4768 for one basis plus accured interest at the same conversation rate and had no expiration date.
  • [F5]Note 2 - Beneficiary under Trust dated 07/24/1968 United States Trust Co., Trustee
  • [F6]Note 3 - Beneficiary under Trust dated 07/26/1972 United States Trust Co., and Patrick J. Herbert, III, Trustee
  • [F7]Note 4 - Beneficiary under Trust dated 12/23/1976 Northern Trust Co., Trustee
  • [F8]The reporting person converted 100 shares of Convertible Preferred Stock on May 29, 2007 at a conversion price of $6.69 per share plus accrued interest resulting in his acquisition of 15,010.19 shares of common stock. The Convertible Stock had a face value of $1,000 per share and was convertible into common stock at a conversion price of $6.69 per share of preferred stock. The convertible preferred stock was convertible into common stock at any time by the holder on a 149.4768 for one basis plus accrued interest at the same conversion rate and had no expiration date.
  • [F9]Note 5 - Beneficiary under Trust dated 12/19/80, Patrick J. Herbert, III, Trustee (stock acquired by Trust)

Documents

1 file

Issuer

CASTLE A M & CO

CIK 0000018172

→
Entity typeoperating
IncorporatedMD

Related Parties

1
  • filerCIK 0000018172

Filing Metadata

Form type
4
Filed
May 29, 8:00 PM ET
Accepted
May 30, 3:57 PM ET
Size
33.8 KB
View on SEC.gov