SEC Form 4 · accession 0001179110-19-003170
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Edward E Williams
Director
Period of report
Mar 2, 2019
Accepted (ET)
Mar 4, 2019 · 8:42 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000033488
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 2, 2019 | M | 1,425 | — | A | 131,619 | D | |
| Common StockF4 | holding | — | — | — | 366,450 | I | By KPW Family Limited Partnership | |
| Common StockF5 | holding | — | — | — | 14,999 | I | By PAW Family Limited Partnership | |
| Common StockF6 | holding | — | — | — | 37,038 | I | By Good Earth Tools, Inc. |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | — | Mar 2, 2019 | M | 1,425 | D | — | — | Common Stock | 1,425 | 0 | D |
Explanation of responses
- F1Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.
- F2Each RSU represents a right to receive one share of ESCA common stock granted pursuant to the Escalade, Incorporated 2007 Incentive Plan (Escalade 2007 Plan).
- F3On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock
- F4Mr. Williams is a general partner of the KPW FLP.
- F5Mr. Williams is a general partner of the PAW FLP.
- F6Mr. Williams owns 33% of the outstanding shares of Good Earth Tools, Inc. and is an executive officer of that entity