Filing Details
- Accession Number:
- 0001459221-11-000053
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2011-11-29 15:35:28
- Reporting Period:
- 2011-11-16
- Filing Date:
- 2011-11-29
- Accepted Time:
- 2011-11-29 15:35:28
- 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 |
|---|---|---|---|---|---|---|---|
| 1289071 | E Edward Williams | Po Box 50 Crystal City MO 63019 | Yes | No | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2011-11-16 | 2,999 | $5.28 | 12,000 | No | 4 | S | Indirect | PAW Family Partnership LP |
| Common Stock | Acquisiton | 2011-11-18 | 2,999 | $5.32 | 14,999 | No | 4 | P | Indirect | PAW Family Partnership LP. |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | S | Indirect | PAW Family Partnership LP |
| No | 4 | P | Indirect | PAW Family Partnership LP. |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 37,829 | Direct | |
| Common Stock | 37,038 | Indirect | Good Earth Tools, Inc. |
| Common Stock | 337,302 | Indirect | KPW Family Limited Partnership |
Footnotes
- The transactions reported on this Form 4 occurred without Mr. Edward Williams knowledge or direction. When the other partners of this limited partnership realized that the sale transaction should not have been made without being first cleared by Mr. Williams in accordance with Escalade Incs policies and procedures, the other partners directed the limited partnership to void the sale by purchasing the exact number of shares that had been sold. The offsetting transactions resulted in a net loss to the limited partnership. Accordingly, there are no short swing profits subject to potential disgorgement pursuant to Section 16(b) of the Securities Exchange Act of 1934.
- Mr. Edward Williams is a general partner of PAW Family Partnership LP.
- Mr. Edward Williams owns 33% of the outstanding shares of Good Earth Tools, Inc. and is an executive officer of the same.
- Mr. Edward Williams is a general partner of KPW Family Limited Partnership.
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