SEC Form 4 · accession 0001626624-15-000032

ESCALADE INC · ESCA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

10% Owner

Period of report

May 8, 2015

Accepted (ET)

May 11, 2015 · 2:23 pm EDT

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 Stock^F1	May 8, 2015	M	7,500	$6.07	A	662,425	D
Common Stock^F1	May 8, 2015	M	7,500	$5.28	A	669,925	D
Common Stock^F1	May 8, 2015	M	7,500	$5.85	A	677,425	D
Common Stock^F1	May 8, 2015	M	5,000	$11.86	A	682,425	D
Common Stock^F2	holding	—	—		—	1,278,465	I	Family Limited Partnership
Common Stock^F3	holding	—	—		—	300,000	I	Held by spouse's trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	D/I
Common Stock Option^F1	$6.07	May 8, 2015	M	7,500	D	Mar 1, 2012	Mar 1, 2016	Common Stock	7,500	D
Common Stock Option^F1	$5.28	May 8, 2015	M	7,500	D	Mar 2, 2013	Mar 2, 2017	Common Stock	7,500	D
Common Stock Option^F1	$5.85	May 8, 2015	M	7,500	D	Mar 1, 2014	Mar 1, 2018	Common Stock	7,500	D
Common Stock Option^F1	$11.86	May 8, 2015	M	5,000	D	Feb 27, 2015	Feb 27, 2019	Common Stock	5,000	D

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.