SEC Form 4 · accession 0001660412-18-000002
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Fenton Baalmann Jr.
Director
Period of report
Feb 26, 2018
Accepted (ET)
Feb 27, 2018 · 5:52 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 | Feb 26, 2018 | M | 1,325 | — | A | 82,917 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2,F3 | — | Feb 26, 2018 | M | 1,325 | D | — | — | Common Stock | 1,325 | 0 | D |
Explanation of responses
- F1Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.
- F2Each RSU represents a right to receive one share of ESCA common stock granted pursuant to the Escalade, Incorporated 2007 Incentive Plan ("Escalade 2007 Plan").
- F3On February 26, 2016, the reporting person was granted 2,650 RSUs pursuant to the Escalade 2007 Plan. 1,325 RSUs vested and settled on February 26, 2017 as previously reported. The remaining 1,325 RSUs vested and settled on February 26, 2018 as reported in this Form 4. All RSUs were settled in shares of ESCA common stock.