Form 4 for ESCA ESCALADE INC
Accepted 2023-03-06 00:00:00 ET · period of report 2023-03-02 · accession 0001415889-23-004332 · 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 | Franklin Katherine F. | Dir | M - OptEx | — | +4,167 | 16.1K | +35% | — |
| DM | 2023-03-06 | 2023-03-02+ | ESCA | Franklin Katherine F. | Dir | M - OptEx | $0.00 | -4,167 | 0 | -100% | $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 | 2023-03-04 | M | A | 1,667 | — | 17,758 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 2 | Common | Common Stock | 2023-03-02 | M | A | 2,500 | — | 16,091 | D | — | — | (F1) Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| 3 | Derivative | Restricted Stock Units | 2023-03-02 | M | D | 2,500 | $0.00 | 2,500 | D | — · — to 2024-03-02 | 2,500 Common Stock | (F2) 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. (F3) On March 2, 2022, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which 2,500 vested and settled on March 2, 2023, as reported on this Form 4. The remaining 2,500 RSUs will vest on March 2, 2024, provided that the reporting person remains a director of Escalade. All RSUs settle in shares of ESCA common stock. |
| 4 | Derivative | Restricted Stock Units | 2023-03-04 | M | D | 1,667 | $0.00 | 0 | D | — · — to 2023-03-04 | 1,667 Common Stock | (F2) 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. (F4) On March 4, 2021, the reporting person was granted 3,333 RSUs pursuant to the Escalade 2017 Plan, of which 1,666 RSUs vested and settled on March 4, 2022, as previously reported. The remaining 1,667 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. |