SEC Form 4/A · accession 0001626624-15-000049
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Robert J Keller
Other
Period of report
Dec 7, 2015
Accepted (ET)
Dec 18, 2015 · 5:27 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 | $12.14 | 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. This amendment is being filed to correct the stock price which contained a typographical error in the original Form 4 filing.
- F3On December 7, 2015, all restricted stock units held by the reporting person vested and were converted into shares of common stock.
Remarks
This amendment is filed solely to correct a typographical error in the initial filing as to the stock price in Table I. All other information is unchanged from the initial filing.