SEC Form 4 · accession 0001626624-16-000059
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
Dec 21, 2015
Accepted (ET)
Mar 8, 2016 · 7:36 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 21, 2015 | P | 827 | $12.31 | A | 496,130 | D | |
| Common StockF2 | holding | — | — | — | 1,278,465 | I | Family Limited Partnership |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Mr. Griffin is reporting on this Form 4 the acquisition of additional shares of common stock pursuant to a broker-administered dividend reinvestment plan. The shares of common stock owned by Mr. Griffin to which the dividended shares relate were inadvertently and automatically enrolled in such plan in connection with a change in broker. Mr. Griffin first became aware of the additional shares issued to him on March 5, 2016, and he has subsequently removed his shares from further participation in the broker-administered dividend reinvestment 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 owned by Mr. Robert Griffin, the father of Mr. Patrick Griffin, which shares have been, and continue to be, included by Mr. Robert Griffin in his Section 16 reports.