Form 4 for ESCA ESCALADE INC
Accepted 2023-03-06 00:00:00 ET · period of report 2023-03-02 · accession 0001415889-23-004324 · 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 | 2023-03-06 | 2023-03-02+ | ESCA | Wawrin Stephen | CFO | M - OptEx | — | +7,199 | 33.5K | +27% | — |
| DM | 2023-03-06 | 2023-03-02+ | ESCA | Wawrin Stephen | CFO | M - OptEx | $0.00 | -7,199 | 1,032 | -87% | $0 |
| D | 2023-03-06 | 2023-03-03 | ESCA | Wawrin Stephen | CFO | A - Grant | $0.00 | +8,331 | 8,331 | New | $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 | 2023-03-02 | M | A | 2,500 | — | 32,500 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 2 | Common | Common Stock | 2023-03-04 | M | A | 3,667 | — | 37,199 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 3 | Common | Common Stock | 2023-03-04 | M | A | 1,032 | — | 33,532 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 4 | Derivative | Restricted Stock Units | 2023-03-04 | M | D | 3,667 | $0.00 | 0 | D | — · — to 2023-03-04 | 3,667 Common Stock | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (F2) Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). (F4) On March 4, 2020, the reporting person was granted 11,000 RSUs pursuant to the Escalade 2017 Plan, of which 7,333 RSUs previously vested and settled, as previously reported. The remaining 3,667 RSUs vested on March 4, 2023 and settled on March 6, 2023, as reported on this Form 4. All RSUs settle in shares of ESCA common stock. |
| 5 | Derivative | Restricted Stock Units | 2023-03-03 | A | A | 8,331 | $0.00 | 8,331 | D | — · — to 2026-03-03 | 8,331 Common Stock | (F2) Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). (F6) On March 3, 2023, the reporting person was granted 8,331 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. |
| 6 | Derivative | Restricted Stock Units | 2023-03-02 | M | D | 2,500 | $0.00 | 5,000 | D | — · — to 2025-03-02 | 2,500 Common Stock | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (F2) Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). (F3) On March 2, 2022, the reporting person was granted 7,500 RSUs pursuant to the Escalade 2017 Plan, of which 2,500 RSUs vested and settled on March 2, 2023, as reported on this Form 4. One half of the remaining 5,000 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. |
| 7 | Derivative | Restricted Stock Units | 2023-03-04 | M | D | 1,032 | $0.00 | 1,032 | D | — · — to 2024-03-04 | 1,032 Common Stock | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (F2) Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). (F5) 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 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. |