Home > Insider Trading > Filing (0001660412-17-000007)

Filing Details

Accession Number:: 0001660412-17-000007
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2017-02-27 21:24:23
Reporting Period:: 2017-02-27

Filing Date:: 2017-02-27
Accepted Time:: 2017-02-27 21:24:23
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
33488	Escalade Inc	ESCA	Sporting & Athletic Goods, Nec (3949)	132739290

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1463197	J Patrick Griffin	817 Maxwell Avenue Evansville IN 47711	Vice President	Yes	Yes	Yes	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2017-02-27	417	$0.00	509,617	No	4	M	Direct
Common Stock	Acquisiton	2017-02-27	316	$0.00	509,933	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	M	Direct
No	4	P	Direct

Reported Derivative Transactions

Show Other Fields >>

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Restricted Stock Units	Disposition	2017-02-27	417	$0.00	417	$0.00
Common Stock	Restricted Stock Units	Disposition	2017-02-27	316	$0.00	316	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
416			No	4	M	Direct
634			No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	1,278,465	Indirect	Family Limited Partnership

Footnotes

Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.
Mr. 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.
Each RSU represents a right to receive one share of ESCA common stock granted pursuant to the Escalade 2007 Incentive Plan. Vested shares will be delivered to the reporting person at such time unless the reporting person has deferred receipt.
On February 27, 2014, the reporting person was granted 1,250 RSUs which vested one third on February 27, 2016 (as previously reported on Form 4) and one third on February 27, 2017 (as being reported on this Form 4). All RSUs were settled in shares of common stock. The remaining 416 RSUs will vest on February 27, 2018 provided the reporting person remains employed by the Company as of such date. The vesting of these RSUs were also subject to the Company's common stock achieving certain market performance tests established by the Compensation Committee of the Company's Board of Directors, which tests were satisfied.
On February 27, 2015, the reporting person was granted 950 RSUs which vested one third on February 27, 2017 and were settled in shares of common stock as being reported on this Form 4. The remaining 634 RSUs will vest one half on February 27, 2018 and one half on February 27, 2019 provided the reporting person remains employed by the Company as of such dates. The vesting of these RSUs were also subject to the Company's common stock achieving certain market performance tests established by the Compensation Committee of the Company's Board of Directors, which tests were satisfied.