13D Filing: Whitebox Advisors and AM Castle & Co (CASLQ)

Page 3 of 13

Page 3 of 13 – SEC Filing

CUSIP No. 148411 309
SCHEDULE 13D
Page 3 of 10

1
NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Whitebox General Partner LLC
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)  o
(b)  ☒
3
SEC USE ONLY
4
SOURCE OF FUNDS
OO
5
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e)
6
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING PERSON
WITH
7
SOLE VOTING POWER
0
8
SHARED VOTING POWER
400,876
9
SOLE DISPOSITIVE POWER
0
10
SHARED DISPOSITIVE POWER
400,876
11
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
400,876
12
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.7% (1)
14
TYPE OF REPORTING PERSON
OO
(1) The calculation assumes that there is a total of 3,734,385 shares of Common Stock outstanding (including grants made under the Issuer’s Management Incentive Plan) based on the Issuer’s Form 8-A filed with the SEC on August 31, 2017.

Follow A. M. Castle & Co. (NYSE:CTAM)

Page 3 of 13