SEC Form 4 · accession 0001626624-15-000006
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert E Griffin
Director · 10% Owner
Period of report
Feb 16, 2015
Accepted (ET)
Feb 18, 2015 · 2:22 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 | Feb 16, 2015 | M | 5,000 | $2.56 | A | 654,925 | D | |
| Common StockF2 | holding | — | — | — | 1,278,465 | I | Family Limited Partnership | |
| Common StockF3 | holding | — | — | — | 300,000 | I | Held by spouse's trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionF1 | $2.56 | Feb 16, 2015 | M | 5,000 | D | Feb 26, 2011 | Feb 26, 2015 | Common Stock | 5,000 | 0 | D |
Explanation of responses
- F1Shares issued pursuant to the exercise of options under the Escalade, Incorporated 2007 Incentive Plan.
- F2Mr. Robert Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Patrick Griffin, the son of Mr. Robert Griffin which shares previously have been, and continue to be, included by Mr. Patrick Griffin in his Section 16 reports.
- F3Mr. Robert Griffin disclaims beneficial ownership in shares held by his spouses trust except to the extent of his pecuniary interest therein.