SEC Form 4 · accession 0001626624-15-000046
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Patrick J Griffin
Officer — Vice President · Director · 10% Owner
Period of report
Nov 2, 2015
Accepted (ET)
Nov 3, 2015 · 4:33 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 | Nov 2, 2015 | M | 13,000 | $6.07 | A | 494,886 | D | |
| Common stockF2 | holding | — | — | — | 1,278,465 | I | Family Limited Partnership |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $6.07 | Nov 2, 2015 | M | 13,000 | D | Mar 1, 2012 | Mar 1, 2016 | Common stock | 13,000 | 0 | D |
Explanation of responses
- F1Shares issued pursuant to the exercise of options under the Escalade, Incorporated 2007 Incentive Plan.
- F2Mr. Patrick 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. Robert Griffin, the father of Mr. Patrick Griffin, which shares previously have been, and continue to be, included by Mr. Robert Griffin in his Section 16 reports.