SEC Form 4 · accession 0001660412-17-000010
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen Wawrin
Officer — Chief Financial Officer
Period of report
Feb 28, 2017
Accepted (ET)
Mar 1, 2017 · 8:19 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 StockF2 | Feb 28, 2017 | M | 3,500 | $5.28 | A | 7,359 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $5.28 | Feb 28, 2017 | M | 3,500 | D | — | Mar 2, 2017 | Common Stock | 3,500 | 0 | D |
Explanation of responses
- F1On March 2, 2012, the reporting person was granted 3,500 stock options under the Escalade, Incorporated 2007 Incentive Plan. The stock options vested one half on March 2, 2015 and one half on March 2, 2016.
- F2Shares issued pursuant to the exercise of stock options granted under the Escalade, Incorporated 2007 Incentive Plan.