0000899243-15-004399.txt : 20150903 0000899243-15-004399.hdr.sgml : 20150903 20150903105708 ACCESSION NUMBER: 0000899243-15-004399 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20150901 FILED AS OF DATE: 20150903 DATE AS OF CHANGE: 20150903 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CASTLE A M & 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cohen Mark Alexander CENTRAL INDEX KEY: 0001591240 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05415 FILM NUMBER: 151091048 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SH Capital Partners, L.P. CENTRAL INDEX KEY: 0001497279 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05415 FILM NUMBER: 151091049 BUSINESS ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 543-1500 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stone House Capital Management, LLC CENTRAL INDEX KEY: 0001589943 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05415 FILM NUMBER: 151091050 BUSINESS ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: (212) 543-1500 MAIL ADDRESS: STREET 1: 950 THIRD AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-09-01 0 0000018172 CASTLE A M & CO CAS 0001589943 Stone House Capital Management, LLC 950 THIRD AVENUE, 17TH FLOOR NEW YORK NY 10022 0 0 1 0 0001497279 SH Capital Partners, L.P. 950 THIRD AVENUE, 17TH FLOOR NEW YORK NY 10022 0 0 1 0 0001591240 Cohen Mark Alexander 950 THIRD AVENUE, 17TH FLOOR NEW YORK NY 10022 0 0 1 0 Common Stock 2015-09-01 4 P 0 28373 A 4000000 I See Footnotes The shares of common stock of A.M. Castle & Co. (the "Shares") are directly beneficially owned by SH Capital Partners, L.P. ("Partners"), of which Stone House Capital Management, LLC ("Stone House") is the sole general partner and investment manager. Mark Cohen is the managing member of Stone House. On September 1, 2015, Mr. Cohen made a capital contribution of $500,000 to Partners, resulting in the acquisition by Mr. Cohen of an additional approximate .709% limited partner interest in Partners. Each of Stone House and Mr. Cohen disclaims beneficial ownership of the securities owned by Partners except to the extent of the pecuniary interest of Stone House and Mr. Cohen, respectively, therein. This statement is jointly filed by and on behalf of each of Stone House, Partners and Mr. Cohen. Partners is the record and direct beneficial owner of the securities covered by this statement. Stone House is the general partner and investment manager of, and may be deemed to beneficially own securities owned by, Partners. Mr. Cohen is the managing member of, and may be deemed to beneficially own securities owned by, Stone House. Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Act"), or otherwise, the beneficial owner of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. Each reporting person may be deemed to be a member of a group with respect to the issuer or securities of the issuer for purposes of Section 13(d) or 13(g) of the Act. Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) or 13(g) of the Act or any other purpose, a member of a group with respect to the issuer or securities of the issuer. Exhibit Index Exhibit 99.1 - Joint Filer Information (filed herewith) Exhibit 99.2 - Joint Filing Agreement (filed herewith) STONE HOUSE CAPITAL MANAGEMENT, LLC, By: /s/ Mark Cohen, Name: Mark Cohen, Title: Managing Member 2015-09-03 SH CAPITAL PARTNERS, L.P., By: Stone House Capital Management, LLC, Its: General Partner, By: /s/ Mark Cohen, Name: Mark Cohen, Title: Managing Member 2015-09-03 MARK COHEN, /s/ Mark Cohen 2015-09-03 EX-99.1 2 attachment1.htm EX-99.1 DOCUMENT 
                                                                    EXHIBIT 99.1

                             JOINT FILER INFORMATION

                            Other Reporting Person(s)


1.      SH CAPITAL PARTNERS, L.P.

                Item                        Information

Name:                                SH CAPITAL PARTNERS, L.P.

Address:                             950 Third Avenue, 17th Floor, New York,
                                     NY 10022

Designated Filer:                    Stone House Capital Management, LLC

Date of Event Requiring Statement    September 1, 2015
(Month/Day/Year):

Issuer Name and Ticker or Trading    A.M. CASTLE & CO. [CAS]
Symbol:

Relationship of Reporting Person(s)  10% Owner
to Issuer:

If Amendment, Date Original Filed    Not Applicable
(Month/Day/Year):

Individual or Joint/Group Filing:    Form filed by More than One Reporting
                                     Person

Signature:                           By:    Stone House Capital Management, LLC
                                     Its:   General Partner

                                     By:    /s/ Mark Cohen
                                            -----------------------------------
                                     Name:  Mark Cohen
                                     Title: Managing Member
                                     Date:  September 3, 2015


2.      MARK COHEN

                Item                        Information

Name:                                MARK COHEN

Address:                             950 Third Avenue, 17th Floor, New York,
                                     NY 10022

Designated Filer:                    Stone House Capital Management, LLC

Date of Event Requiring Statement    September 1, 2015
(Month/Day/Year):

Issuer Name and Ticker or Trading    A.M. CASTLE & CO. [CAS]
Symbol:

Relationship of Reporting Person(s)  10% Owner
to Issuer:

If Amendment, Date Original Filed    Not Applicable
(Month/Day/Year):

Individual or Joint/Group Filing:    Form filed by More than One Reporting
                                     Person

Signature:
                                     /s/ Mark Cohen
                                     ------------------------------------------
                                     Date:  September 3, 2015
EX-99.2 3 attachment2.htm EX-99.2 DOCUMENT 
                                                                    EXHIBIT 99.2

                             JOINT FILING AGREEMENT

                                September 3, 2015

        Pursuant to and in accordance with the Securities Exchange Act of 1934,
as amended (the "Exchange Act"), and the rules and regulations thereunder, each
party hereto hereby agrees to the joint filing, on behalf of each of them, of
any filing required by such party under Section 13 or Section 16 of the Exchange
Act or any rule or regulation thereunder (including any amendment, restatement,
supplement and/or exhibit thereto) with the Securities and Exchange Commission
(and, if such security is registered on a national securities exchange, also
with the exchange) and further agrees to the filing, furnishing and/or
incorporation by reference of this agreement as an exhibit thereto. This
agreement shall remain in full force and effect until revoked by any party
hereto in a signed writing provided to each other party hereto, and then only
with respect to such revoking party.

        IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused
this agreement to be executed and effective as of the date first written above.

        Date: September 3, 2015      STONE HOUSE CAPITAL MANAGEMENT, LLC


                                     By:    /s/ Mark Cohen
                                            -----------------------------------
                                     Name:  Mark Cohen
                                     Title: Managing Member


                                     SH CAPITAL PARTNERS, L.P.

                                     By:    Stone House Capital Management, LLC
                                     Its:   General Partner

                                     By:    /s/ Mark Cohen
                                            -----------------------------------
                                     Name:  Mark Cohen
                                     Title: Managing Member


                                     MARK COHEN

                                     /s/ Mark Cohen
                                     ------------------------------------------