Form 4 for ESCA ESCALADE INC
Accepted 2023-03-06 00:00:00 ET · period of report 2023-03-02 · accession 0001415889-23-004328 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2023-03-06 | 2023-03-03 | ESCA | Griffin Patrick J | VP, Dir, 10% | A - Grant | $12.78 | +8,842 | 544.6K | +2% | +$113.0K |
| DM | 2023-03-06 | 2023-03-02+ | ESCA | Griffin Patrick J | VP, Dir, 10% | M - OptEx | — | +3,698 | 535.8K | +0.7% | — |
| DM | 2023-03-06 | 2022-03-02+ | ESCA | Griffin Patrick J | VP, Dir, 10% | M - OptEx | $0.00 | +1,852 | 0 | 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 | 2023-03-03 | A | A | 8,842 | $12.78 | 544,638.23 | D | — | — | (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. |
| 2 | Common | Common Stock | 2023-03-04 | M | A | 1,032 | — | 545,670.23 | 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 | 1,000 | — | 546,670.23 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 4 | Common | Common Stock | 2023-03-02 | M | A | 1,666 | — | 535,796.23 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 5 | Derivative | Restricted Stock Units | 2022-03-02 | M | D | 1,666 | $0.00 | 3,334 | D | — · — to 2025-03-02 | 1,666 Common Stock | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (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. |
| 6 | Derivative | Restricted Stock Units | 2023-03-03 | M | A | 5,550 | $0.00 | 5,550 | D | — · — to 2026-03-03 | 5,550 Common Stock | (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). (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. |
| 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. (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). (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. |
| 8 | Derivative | Restricted Stock Units | 2023-03-04 | M | D | 1,000 | $0.00 | 0 | D | — · — to 2023-03-04 | 1,000 Common Stock | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. (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). (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. |