SEC Form 4/A · accession 0001660412-17-000037
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 E Griffin
10% Owner
Period of report
Dec 13, 2017
Accepted (ET)
Dec 14, 2017 · 7:18 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 13, 2017 | G | 8,352 | $0.00 | D | 665,793 | D | |
| Common StockF2 | holding | — | — | — | 1,278,465 | I | Family limited partnership | |
| Common StockF3 | holding | — | — | — | 300,000 | I | Spouse's trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The initial Form 4 and amendment #1 thereto contained the wrong transaction date. Mr. Griffin gifted 2,088 shares of Escalade stock to each of his four adult children, a total of 8,352 shares, on December 13, 2017, not December 14 as previously reported. For clarity, all information relating to those gifts and Mr. Griffin's holdings are now being reported on this amendment #2, which supersedes the prior filings in their entirety.
- 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 in the family limited partnership are also deemed to be beneficially owned by Mr. Patrick Griffin, his son, which shares previously have been and continue to be included by Mr. Patrick Griffin in his Section 16 reports.
- F3Mr. Griffin disclaims beneficial ownership in shares held by his spouse's trust except to the extent of his pecuniary interest therein.