SEC Form 4 · accession 0001626624-16-000066
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
Aug 17, 2016
Accepted (ET)
Aug 18, 2016 · 7:56 pm 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 | Aug 17, 2016 | M | 3,000 | $5.85 | A | 499,130 | D | |
| Common StockF1 | Aug 17, 2016 | M | 8,000 | $5.28 | A | 507,130 | D | |
| Common StockF2 | holding | — | — | — | 1,287,465 | 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 OptionsF3 | $5.85 | Aug 17, 2016 | M | 3,000 | D | — | Mar 1, 2018 | Common Stock | 3,000 | 1,000 | D |
| Stock OptionsF4 | $5.28 | Aug 17, 2016 | M | 8,000 | D | — | Mar 2, 2017 | Common Stock | 8,000 | 0 | D |
Explanation of responses
- F1Shares issued pursuant to the exercise of stock 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 owned by Mr. Robert Griffin, the father of Patrick Griffin, which shares have been and continue to also be included by Robert Griffin in his Section 16 reports.
- F3Stock options initially granted on March 1, 2013 that vest 25% annually on each March 1 with the final increment vesting on March 1, 2017.
- F4Stock options initially granted on March 2, 2012 that vested 25% annually on each March 2 with the final increment having vested on March 2, 2016.