-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, N7frIITsv16mC2yEKoutFgh0vOZIcecAz4zJwEnD6Faiv83x/MpoRl7HAfLok/4Q 9wFuPvsKFyxpAU95FUMzug== 0001181431-08-010469.txt : 20080214 0001181431-08-010469.hdr.sgml : 20080214 20080214145952 ACCESSION NUMBER: 0001181431-08-010469 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20071231 FILED AS OF DATE: 20080214 DATE AS OF CHANGE: 20080214 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: 1207 BUSINESS ADDRESS: STREET 1: 3400 N WOLF RD CITY: FRANKLIN PARK STATE: IL ZIP: 60131 BUSINESS PHONE: 7084557111 MAIL ADDRESS: STREET 1: 3400 N WOLF RD CITY: FRANKLIN PARK STATE: IL ZIP: 60131 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SIMPSON MICHAEL CENTRAL INDEX KEY: 0001184782 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-05415 FILM NUMBER: 08613925 BUSINESS ADDRESS: BUSINESS PHONE: 8473492524 MAIL ADDRESS: STREET 1: 3400 NO WOLF RD CITY: FRANKLIN PARK STATE: IL ZIP: 60161 5 1 rrd195062.xml MS 2007 FORM 5 LONG VERSION X0202 5 2007-12-31 0 1 1 0000018172 CASTLE A M & CO CAS 0001184782 SIMPSON MICHAEL 3400 NORTH WOLF ROAD FRANKLIN PARK IL 60131 1 0 0 0 Common Stock 2007-05-29 4 P 0 75050.96 0.00 A 85596.96 I Footnote 2 Common Stock 2007-05-29 4 S 0 75050.96 31.10 D 10546 I Footnote 2 Preferred Stock 2007-05-29 4 S 0 500 0.00 D 0 I Footnote 2 Common Stock 2007-05-29 4 P 0 56288.22 0.00 A 79069.22 I Footnote 5 Common Stock 2007-05-29 4 S 0 56288.22 31.10 D 22781 I Footnote 5 Preferred Stock 2007-05-29 4 S 0 375 0.00 D 0 I Footnote 5 Common Stock 2007-05-29 4 P 0 15010.19 0.00 A 264378.19 I Footnote 7 Common Stock 2007-05-29 4 J 0 91496 0.00 D 172882.19 I Footnote 7 Common Stock 2007-05-29 4 S 0 15010.19 31.10 D 157872 I Footnote 7 Preferred Stock 2007-05-29 4 S 0 100 0.00 D 0 I Footnote 7 Common Stock 2007-05-30 4 I 0 1446 34.58 A 3219 D Common Stock 2007-06-01 4 J 0 91496 0 A 94715 D Common Stock 2007-12-11 4 S 0 100 27.72 D 94615 D Common Stock 2007-12-11 4 S 0 100 27.73 D 94515 D Common Stock 2007-12-11 4 S 0 600 27.74 D 93915 D Common Stock 2007-12-11 4 S 0 681 27.75 D 93234 D Common Stock 2007-12-11 4 S 0 100 27.78 D 93134 D Common Stock 2007-12-11 4 S 0 400 27.79 D 92734 D Common Stock 2007-12-11 4 S 0 1250 27.80 D 91484 D Common Stock 2007-12-11 4 S 0 2300 27.81 D 89184 D Common Stock 2007-12-11 4 S 0 675 27.82 D 88509 D Common Stock 2007-12-11 4 S 0 300 27.83 D 88209 D Common Stock 2007-12-11 4 S 0 300 27.88 D 87909 D Common Stock 2007-12-11 4 S 0 100 27.90 D 87809 D Common Stock 2007-12-11 4 S 0 300 27.91 D 87509 D Common Stock 2007-12-12 4 G 0 2110 0.00 D 85399 D Common Stock 3 262433 I Footnote 12 Common Stock 3 20992 I Footnote 13 Stock Options (Right to Buy) 7.05 3 2003-10-04 2012-10-04 Common Stock 6000 6000 D Stock Options (Right to Buy) 8.52 3 2005-06-01 2014-06-01 Common Stock 7500 7500 D Stock Options (Right to Buy) 10.00 3 2001-07-27 2010-07-27 Common Stock 10000 10000 D Stock Options (Right to Buy) 10.35 3 2003-06-03 2012-06-03 Common Stock 5000 5000 D Stock Options (Right to Buy) 11.00 3 2002-07-26 2011-07-26 Common Stock 10000 10000 D Stock Options (Right to Buy) 14.22 3 2006-07-01 2015-07-01 Common Stock 7500 7500 D 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 acquisition of 75,050.96 shares of common stock. The Convertible Preferred Stock had a face value of $1,000 per share. 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. Reported on Form 4 dated 5/30/2007. Beneficiary under Trust dated 12/7/1949 United States Trust Co., Trustee. Transaction previously reported on Form 4 dated 5/30/2007. The reporting person converted 375 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 56,288.22 shares of common stock. The Convertible Preferred Stock had a face value of $1,000 per share. 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. Transaction previously reported on Form 4 dated 5/30/2007. Beneficiary under Trust dated 7/24/1968 United States Trust Co., Trustee. 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 share of common stock. The Convertible Preferred Stock had a face value of $1,000 per share. 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. Transaction previously reported on Form 4 dated 5/30/2007. Beneficiary under Trust dated 12/19/1980 Patrick J. Herbert, III, Trustee (stock acquired by Trust). Adjusted to reflect actual number of share in which Mr. Simpson has a beneficial intersest - not the number of share held by the Trust. Transaction previously reported on Form 4 dated 5/30/2007. Restricted Stock awarded to Directors as of April 27, 2007, valued at closing common stock price on April 27, 2007; cliff vests in one year. Transaction previously reported on Form 4 dated 5/30/2007. The adjustment made to the Trust in Footnote 7 removing the reference to 91,496 shares from the Trust reporting should have added those shares as directly held. Transaction previously reported on Form 4 dated 6/1/2007. Transaction previously reported on Form 4 dated 12/13/2007. Beneficiary under Trust dated 7/26/1972 United States Trust Co. and Patrick J. Herbert, III, Trustee. Beneficiary under Trust dated 12/23/1976 Northern Turst Co., Trustee. Sherry L. Holland, Attorney-in-Fact 2008-02-14 -----END PRIVACY-ENHANCED MESSAGE-----