Form 4 for ESCA ESCALADE INC
Accepted 2022-03-04 00:00:00 ET · period of report 2022-03-02 · accession 0001415889-22-002581 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2022-03-04 | 2022-03-04 | ESCA | Griffin Patrick J | VP, Dir, 10% | M - OptEx | — | +2,031 | 528.2K | +0.4% | — |
| D | 2022-03-04 | 2022-03-02 | ESCA | Griffin Patrick J | VP, Dir, 10% | A - Grant | $0.00 | +5,000 | 5,000 | New | $0 |
| DM | 2022-03-04 | 2022-03-04 | ESCA | Griffin Patrick J | VP, Dir, 10% | M - OptEx | $0.00 | -2,031 | 2,064 | -50% | $0 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2022-03-04 | M | A | 1,000 | — | 527,173.23 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 2 | Common | Common Stock | 2022-03-04 | M | A | 1,031 | — | 528,204.23 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 3 | Derivative | Restricted Stock Units | 2022-03-02 | A | A | 5,000 | $0.00 | 5,000 | D | — · — to 2025-03-02 | 5,000 Common Stock | (F4) 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). (F5) On March 2, 2022, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which one third will vest on March 2, 2023, one third on March 2, 2024 and one third on March 2, 2025, provided that the reporting person remains an officer or director of Escalade. |
| 4 | Derivative | Restricted Stock Units | 2022-03-04 | M | D | 1,000 | $0.00 | 1,000 | D | — · — to 2023-03-04 | 1,000 Common Stock | (F4) 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). (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (F6) On March 4, 2020, the reporting person was granted 3,000 RSUs pursuant to the Escalade 2017 Plan, of which 1,000 RSUs vested and settled on March 4, 2021. An additional 1,000 RSUs vested and settled on March 4, 2022, as reported on this Form 4. The remaining 1,000 RSUs will vest and settle on March 4, 2023, provided that the reporting person remains an officer or director of Escalade as of such vesting date. All RSUs settle in shares of ESCA common stock. |
| 5 | Derivative | Restricted Stock Units | 2022-03-04 | M | D | 1,031 | $0.00 | 2,064 | D | — · — to 2024-03-04 | 1,031 Common Stock | (F4) 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). (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (F7) 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 reported in this Form 4. One half of the remaining 2,064 RSUs will vest and settle on March 4, 2023 and the other half will vest and settle on March 4, 2024, provided that the reporting person remains an officer or director of Escalade as of such vesting date. All RSUs settle in shares of ESCA common stock. |