UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
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A.M. Castle & Co.
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(Name of Issuer)
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Common Stock, $0.01 par value
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(Title of Class of Securities)
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148411 309
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(CUSIP Number)
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John Oliva
Highbridge Capital Management, LLC
277 Park Avenue, 23rd Floor
New York, New York 10172
(212) 287-4900
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(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
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March 27, 2020
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(Date of Event which Requires Filing of this Statement)
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If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule
because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. ☐
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Note: Schedules filed in paper format shall include a signed original and five copies of the schedule,
including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent.
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*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
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The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities
Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No. 148411 309
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SCHEDULE 13D
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Page 2 of 8
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1
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NAME OF REPORTING PERSON
Highbridge Capital Management, LLC
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) ☐
(b) ☒
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
OO
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
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7
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SOLE VOTING POWER
0
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8
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SHARED VOTING POWER
89,927,673
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9
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SOLE DISPOSITIVE POWER
0
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10
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SHARED DISPOSITIVE POWER
89,927,673
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
89,927,673
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
63.9%
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14
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TYPE OF REPORTING PERSON
IA, OO
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CUSIP No. 148411 309
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SCHEDULE 13D
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Page 3 of 8
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1
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NAME OF REPORTING PERSON
Highbridge MSF International Ltd. (formerly known as 1992 MSF International Ltd.)
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) ☐
(b) ☒
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3
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SEC USE ONLY
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4
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SOURCE OF FUNDS
OO
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5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
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☐
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands, British West Indies
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
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7
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SOLE VOTING POWER
0
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8
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SHARED VOTING POWER
73,048,597
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9
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SOLE DISPOSITIVE POWER
0
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10
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SHARED DISPOSITIVE POWER
73,048,597
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
73,048,597
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12
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
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☐
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
57.0%
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14
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TYPE OF REPORTING PERSON
OO
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CUSIP No. 148411 309
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SCHEDULE 13D
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Page 4 of 8
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CUSIP No. 148411 309
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SCHEDULE 13D
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Page 5 of 8
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(a)
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As of the date hereof, Highbridge Capital, as the trading manager of the Funds may be deemed to be the beneficial owner of 89,927,673
shares of Common Stock, constituting 63.9% of the outstanding shares of Common Stock on a fully diluted basis.
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(b)
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See facing pages for each Reporting Person.
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(c)
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Information with respect to all transactions in the shares beneficially owned by the Reporting Persons that were effected during the past sixty
days is set forth in Item 4.
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(d)
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No person other than the Reporting Persons and the Funds is known to have the right to receive, or the power to direct the receipt of dividends
from, or proceeds from the sale of, the shares of Common Stock held by the Funds.
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(e)
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Not applicable.
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CUSIP No. 148411 309
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SCHEDULE 13D
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Page 6 of 8
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CUSIP No. 148411 309
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SCHEDULE 13D
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Page 7 of 8
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Exhibit 6
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Indenture governing 3.00%/5.00% Convertible Senior PIK Toggle Notes due 2024, dated March 27, 2020, between the Company, certain of
its subsidiaries, and Wilmington Savings Fund Society, FSB, as Trustee and Collateral Agent (incorporated by reference to Exhibit 4.1 to A.M. Castle & Co.’s Current Report on Form 8-K filed with the Securities and Exchange Commission on March 30, 2020 (File No. 1-5415).
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Exhibit 7
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Amended and Restated Registration Rights Agreement, dated March 27, 2020, among the Company and the stockholders named therein
(incorporated by reference to Exhibit 4.1 to A.M. Castle & Co.’s Current Report on Form 8-K filed with the Securities and Exchange
Commission on March 30, 2020 (File No. 1-5415).
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CUSIP No. 148411 309
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SCHEDULE 13D
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Page 8 of 8
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Highbridge Capital Management, LLC
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By:
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/s/ John Oliva
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Name:
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John Oliva
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Title:
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Managing Director
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Highbridge MSF International Ltd. (formerly known as 1992 MSF International Ltd.)
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By: |
Highbridge Capital Management, LLC, solely in its capacity as Trading Manager
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By:
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/s/ John Oliva
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Name:
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John Oliva
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Title:
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Managing Director
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