UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 12b-25

 

 

 

         
    NOTIFICATION OF LATE FILING   SEC FILE NUMBER    
        1-5415
         
(Check One):       ☒  Form 10-K    ☐  Form 20-F    ☐  Form 11-K    ☐  Form 10-Q       CUSIP NUMBER
    ☐  Form 10-D    ☐  Form N-SAR    ☐  Form N-CSR  
     
    For Period Ended: December 31, 2016    
     
    ☐  Transition Report on Form 10-K    
    ☐  Transition Report on Form 20-F    
    ☐  Transition Report on Form 11-K    
    ☐  Transition Report on Form 10-Q    
    ☐  Transition Report on Form N-SAR    
     
    For the Transition Period Ended:        

 

 

Read Instructions (on back page) Before Preparing Form. Please Print or Type.

Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.

If the notification relates to a portion of the filing checked above, identify the Item(s) to which the notification relates:

 

 
 

 

 

PART I — REGISTRANT INFORMATION

A.M. Castle & Co.

Full Name of Registrant

 

Not Applicable 

Former Name if Applicable

 

1420 Kensington Road, Suite 220

Address of Principal Executive Officer (Street and Number)

 

Oak Brook, IL 60523

City, State and Zip Code

 

 

PART II — RULES 12b-25(b) AND (c)

If the subject report could not be filed without unreasonable effort or expense and the registrant seeks relief pursuant to Rule 12b-25(b), the following should be completed. (Check box if appropriate).

 

         
    (a)  

The reason described in reasonable detail in Part III of this form could not be eliminated without unreasonable effort or expense;

 

☒      (b)  

The subject annual report, semi-annual report, transition report on Form 10-K, Form 20-F, Form 11-K, Form N-SAR or Form N-CSR, or portion thereof, will be filed on or before the fifteenth calendar day following the prescribed due date; or the subject quarterly report or transition report on Form 10-Q or subject distribution report on Form 10-D, or portion thereof, will be filed on or before the fifth calendar day following the prescribed due date; and

 

    (c)   The accountant’s statement or other exhibit required by Rule 12b-25(c) has been attached if applicable.

 

 

PART III — NARRATIVE

State below in reasonable detail why the Forms 10-K, 20-F, 11-K, 10-Q, 10-D, N-SAR, N-CSR, or the transition report or portion thereof, could not be filed within the prescribed time period. (Attach extra sheets if needed.)

The Company is unable to file its Annual Report on Form 10-K for the year ended December 31, 2016, within the prescribed time period without unreasonable effort or expense.   The Company requires additional time to finalize its financial statements to be filed as part of the 2016 Form 10-K.  The additional time is required for, among things, the Company to confirm impact and presentation of the Company’s financial restructuring activities and the significant number of extraordinary transactions and operational restructuring activities undertaken during the Company’s 2016 fiscal year. The Company currently expects to file the 2016 Form 10-K on or before April 15, 2017, the prescribed due date under the fifteen calendar day extension period provided under Rule 12b-25. 

 
 

 

 

PART IV — OTHER INFORMATION

 

(1)  Name and telephone number of person to contact in regard to this notification

 

                 
Marec E. Edgar       (847)       455-7111
(Name)       (Area Code)       (Telephone Number)

 

(2)  Have all other periodic reports required under Section 13 or 15(d) of the Securities Exchange Act of 1934 or Section 30 of the Investment Company Act of 1940 during the preceding 12 months or for such shorter period that the registrant was required to file such report(s) been filed? If the answer is no, identify report(s).    ☒  Yes    ☐  No

 

 

 

(3)  Is it anticipated that any significant change in results of operations from the corresponding period for the last fiscal year will be reflected by the earnings statements to be included in the subject report or portion thereof?     ☐  Yes    ☒  No

If so, attach an explanation of the anticipated change, both narratively and quantitatively, and, if appropriate, state the reasons why a reasonable estimate of the results cannot be made.

 

A.M. Castle & Co.

(Name of Registrant as Specified in Charter)

has caused this notification to be signed on its behalf by the undersigned hereunto duly authorized.

 

             
Date March  30, 2017   By  

/s/ Marec E. Edgar