SEC Form 4 · accession 0001660412-18-000012

ESCALADE INC · ESCA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Mar 2, 2018

Accepted (ET)

Mar 2, 2018 · 8:08 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 Stock^F1	Mar 2, 2018	M	1,425	—	A	126,082	D
Common Stock^F4	holding	—	—		—	14,999	I	PAW Family Limited Partnership
Common Stock^F5	holding	—	—		—	37,038	I	Good Earth Tools, Inc.
Common Stock^F6	holding	—	—		—	337,302	I	KPW Family Limited Partnership

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F1,F2,F3	—	Mar 2, 2018	M	1,425	D	—	—	Common Stock	1,425	1,425	D

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.
F4Mr. Williams is a general partner of PAW Family Limited Partnership, L.P.
F5Mr. Williams owns 33% of the outstanding shares of Good Earth Tools, Inc. and is an executive officer of same.
F6Mr. Williams is a general partner of KPW Family Limited Partnership.