SEC Form 4 · accession 0001626624-15-000036
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert J Keller
Officer — President and CEO · Director
Period of report
May 26, 2015
Accepted (ET)
May 28, 2015 · 11:54 am 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 StockF1 | May 26, 2015 | S | 8,272 | $18.121 | D | 210,296 | D | |
| Common StockF2 | May 27, 2015 | M | 10,000 | $6.07 | A | 220,296 | D | |
| Common StockF2 | May 27, 2015 | M | 10,000 | $5.28 | A | 230,296 | D | |
| Common StockF2 | May 27, 2015 | M | 5,500 | $5.85 | A | 235,796 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock OptionF2 | $6.07 | May 27, 2015 | M | 10,000 | D | Mar 1, 2012 | Mar 1, 2016 | Common Stock | 10,000 | 0 | D |
| Common Stock OptionF2 | $5.28 | May 27, 2015 | M | 10,000 | D | Mar 2, 2013 | Mar 2, 2017 | Common Stock | 10,000 | 10,000 | D |
| Common Stock OptionF2 | $5.85 | May 27, 2015 | M | 5,500 | D | Mar 1, 2014 | Mar 1, 2018 | Common Stock | 5,500 | 11,000 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.01 to $18.29, inclusive. The reporting person undertakes to provide to Escalade Incorporated, any security holder of Escalade Incorporated or the staff of the Securities and Exchange Commission, upon request full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.
- F2Shares issued pursuant to the exercise of options under the Escalade, Incorporated 2007 Incentive Plan.