SEC Form 4 · accession 0001626624-15-000047
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Robert J Keller
Other
Period of report
Dec 7, 2015
Accepted (ET)
Dec 9, 2015 · 5:21 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 | Dec 7, 2015 | M | 21,175 | — | A | 255,243 | D | |
| Common StockF2 | Dec 7, 2015 | F | 6,533 | $12.24 | D | 248,710 | D |
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,F3 | — | Dec 7, 2015 | M | 21,175 | D | — | — | Common Stock | 12,000 | 0 | D |
Explanation of responses
- F1Restricted Stock Units convert into shares of common stock on a one-for-one basis at no additional consideration
- F2Shares withheld upon exercise of tax withholding right in connection with vesting of restricted stock units exempt under Rule 16b-3(e)
- F3On December 7, 2015, all restricted stock units held by the reporting person vested and were converted into shares of common stock.