A. M. CASTLE & CO. Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 3 rows in 2011. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-05-27: Reporting owner SIMPSON MICHAEL; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-05-23: Reporting owner HERBERT PATRICK J III; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
- 2011-03-15: Reporting owner Tiffany Blain; Form 4; Security Employee Stock Option (right to buy); Transaction M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-05-27 | SIMPSON MICHAEL Director | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −10,000 0 owned after | $11.00 exercise price | 2011-05-27 | |
| 2011-05-23 | HERBERT PATRICK J III Director, 10% Owner | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −5,000 0 owned after | $13.00 exercise price | 2011-05-24 | |
| 2011-03-15 | Tiffany Blain Officer (Pres., Castle Metals Aerospace) | 4 | Employee Stock Option (right to buy) Derivative · Direct | M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3 | −3,333 0 owned after | $5.21 exercise price | 2011-03-16 |