SEC Form 4 · accession 0001660412-18-000011
ESCALADE INC · ESCA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard Fenton Baalmann Jr.
Director
Period of report
Mar 2, 2018
Accepted (ET)
Mar 2, 2018 · 7:49 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 2, 2018 | M | 1,425 | — | A | 84,342 | 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 | — | Mar 2, 2018 | M | 1,425 | D | — | — | Common Stock | 1,425 | 1,425 | 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 March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which one half (1,425 RSUs) vested and settled on March 2, 2018 as reported in this Form 4. The remaining 1,425 RSUs will vest on March 2, 2019 provided the reporting person remains a director through that date. All RSUs were settled in shares of ESCA common stock.