4//SEC Filing
Griffin Patrick J 4
Accession 0001415889-23-004328
CIK 0000033488other
Filed
Mar 5, 7:00 PM ET
Accepted
Mar 6, 4:58 PM ET
Size
22.0 KB
Accession
0001415889-23-004328
Insider Transaction Report
Form 4
ESCALADE INCESCA
Griffin Patrick J
Director(See Remarks)
Transactions
- Exercise/Conversion
Common Stock
2023-03-02+1,666→ 535,796.229 total - Award
Common Stock
2023-03-03$12.78/sh+8,842$113,001→ 544,638.229 total - Exercise/Conversion
Common Stock
2023-03-04+1,032→ 545,670.229 total - Exercise/Conversion
Common Stock
2023-03-04+1,000→ 546,670.229 total - Exercise/Conversion
Restricted Stock Units
2022-03-02−1,666→ 3,334 totalExp: 2025-03-02→ Common Stock (1,666 underlying) - Exercise/Conversion
Restricted Stock Units
2023-03-04−1,000→ 0 totalExp: 2023-03-04→ Common Stock (1,000 underlying) - Exercise/Conversion
Restricted Stock Units
2023-03-04−1,032→ 1,032 totalExp: 2024-03-04→ Common Stock (1,032 underlying) - Exercise/Conversion
Restricted Stock Units
2023-03-03+5,550→ 5,550 totalExp: 2026-03-03→ Common Stock (5,550 underlying)
Holdings
- 2,000(indirect: By adult son)
Common Stock
- 1,326,736(indirect: By Partnership)
Common Stock
Footnotes (9)
- [F1]Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.
- [F2]The grant of ESCA common stock is in lieu of cash payment of the 2022 annual cash incentive bonus payable to the reporting person for services as an officer. The ESCA common stock is awarded pursuant to the Escalade, Incorporated 2017 Incentive Plan.
- [F3]Mr. Griffin disclaims beneficial interest in shares held by his adult son, except to the extent of his pecuniary interest therein.
- [F4]This reporting person 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 beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.
- [F5]Each RSU represents a right to receive one share of ESCA common stock granted pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan).
- [F6]On March 2, 2022, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which 1,666 RSUs vested and settled on March 2, 2023, as reported on this Form 4. One half of the remaining 3,334 RSUs will vest on March 2, 2024 and the other half will vest on March 2, 2025, provided that the reporting person remains an officer of Escalade. All RSUs settle in shares of ESCA common stock.
- [F7]On March 4, 2020, the reporting person was granted 3,000 RSUs pursuant to the Escalade 2017 Plan, of which 2,000 RSUs previously vested and settled, as previously reported. The remaining 1,000 RSUs vested on March 4, 2023 and settled on March 6, 2022, as reported on this Form 4. All RSUs settle in shares of ESCA common stock.
- [F8]On March 4, 2021, the reporting person was granted 3,095 RSUs pursuant to the Escalade 2017 Plan, of which 1,031 RSUs vested and settled on March 4, 2022, as previously reported. Of the remaining 2,064 RSUs, 1,032 RSUs vested on March 4, 2023 and settled on March 6, 2023, as reported on this Form 4, and the other half will vest on March 4, 2024, provided that the reporting person remains an officer of Escalade as of such vesting date. All RSUs settle in shares of ESCA common stock.
- [F9]On March 3, 2023, the reporting person was granted 5,550 RSUs pursuant to the Escalade 2017 Plan, of which one third will vest on March 3, 2024, one third on March 3, 2025 and one third on March 3, 2026, provided that the reporting person remains an officer of Escalade. All RSUs settle in shares of ESCA common stock.
Documents
Issuer
ESCALADE INC
CIK 0000033488
Entity typeother
Related Parties
1- filerCIK 0001463197
Filing Metadata
- Form type
- 4
- Filed
- Mar 5, 7:00 PM ET
- Accepted
- Mar 6, 4:58 PM ET
- Size
- 22.0 KB