SEC Form 4 · accession 0001660412-17-000019
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
Mar 6, 2017
Accepted (ET)
Mar 7, 2017 · 8:39 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 | Mar 6, 2017 | M | 1,000 | $5.85 | A | 510,933 | D | |
| Common StockF2 | holding | — | — | — | 1,278,465 | 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 | Mar 6, 2017 | M | 1,000 | D | — | Mar 1, 2018 | Common Stock | 1,000 | 0 | D |
Explanation of responses
- F1Shares issued pursuant to the exercise of stock options under the Escalade, Incorporated 2007 Incentive Plan.
- F2Mr. 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 E. Griffin, his father, which shares have been and continue to be also included by Mr. Robert E. Griffin in his Section 16 reports.
- F3Stock options initially granted on March 1, 2013 that vested 25% annually on each March 1 with the final vesting on March 1, 2017.