Amended Statement of Ownership (sc 13g/a)
February 14 2020 - 6:17AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of
1934
(Amendment No. 32)*
(Name of Issuer)
Common Stock, No Par Value
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(Title of Class of Securities)
(CUSIP Number)
(Date of Event Which Requires Filing of
this Statement)
Check the appropriate box to designate the rule pursuant to
which this Schedule is filed:
* The remainder of this cover page shall be filled out for a
reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment
containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page
shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”)
or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however,
see the Notes).
(Continued on following pages)
CUSIP No. 296056-10-4
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13G
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Page 2 of 5 Pages
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1.
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NAMES OF REPORTING PERSON
S.S. or I.R.S. Identification No. of Above Person
Robert E. Griffin
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)
¨
(b)
x
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5.
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SOLE VOTING POWER
644,672.629
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6.
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SHARED VOTING POWER
1,578,465
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7.
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SOLE DISPOSITIVE POWER
644,672.629
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8.
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SHARED DISPOSITIVE POWER
1,578,465
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,223,137.629 See Item 4(a).
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10.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
Not
Applicable ¨
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
15.58%
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12.
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TYPE OF REPORTING PERSON*
IN
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CUSIP No. 296056-10-4
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13G
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Page 3 of 5 Pages
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ITEM 1
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(a)
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NAME OF ISSUER: Escalade, Incorporated
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(b)
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ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:
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817 Maxwell Avenue
Evansville, IN 47711
ITEM 2
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(a)
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NAME OF PERSON FILING: Robert E. Griffin
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(b)
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ADDRESS OF PRINCIPAL BUSINESS OFFICE:
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817 Maxwell Avenue
Evansville, IN 47711
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(d)
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TITLE OF CLASS OF SECURITIES: Common Stock, no par value
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(e)
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CUSIP NUMBER: 296056-10-4
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ITEM 3
This
statement is not filed pursuant to Rules 13d-1(b) or 13d-2(b). This statement is filed pursuant to Rule 13d-1(c)
x .
ITEM 4
OWNERSHIP
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(a)
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AMOUNT BENEFICIALLY OWNED:
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2,223,137.629 shares. Mr. Griffin
disclaims beneficial ownership interest of 1,278,465 shares owned by a family limited partnership and 300,000 shares owned by
his spouse, except to the extent of his pecuniary interest therein. Such shares owned by the family limited partnership are also
deemed to be beneficially owned by Mr. Griffin’s adult son, Patrick J. Griffin, which beneficial ownership is
separately reported by Mr. Patrick J. Griffin.
CUSIP No. 296056-10-4
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13G
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Page 4 of 5 Pages
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15.58%
(c)
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(i)
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SOLE VOTING POWER: 644,672.629
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(ii)
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SHARED
VOTING POWER: 1,578,465
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(iii)
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SOLE
DISPOSITIVE POWER: 644,672.629
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(iv)
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SHARED
DISPOSITIVE POWER: 1,578,465
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ITEM 5
OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not Applicable
ITEM 6
OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF
OF ANOTHER PERSON
Not Applicable
ITEM 7
IDENTIFICATION AND CLASSIFICATION OF THE
SUBSIDIARY
WHICH ACQUIRED THE SECURITY BEING REPORTED
ON BY THE
PARENT HOLDING COMPANY:
Not Applicable
ITEM 8
IDENTIFICATION AND CLASSIFICATION OF MEMBERS
OF THE GROUP
Not Applicable
CUSIP No. 296056-10-4
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13G
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Page 5 of 5 Pages
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ITEM 9
NOTICE OF DISSOLUTION OF GROUP
Not Applicable
ITEM 10
CERTIFICATION
By signing below, the undersigned certifies
that, to the best of his knowledge and belief, the securities referred to above were acquired in the ordinary course of business
and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such
securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect.
SIGNATURE
After reasonable inquiry and to the best
of his knowledge and belief, the undersigned hereby certifies that the information set forth in this statement is true, complete
and correct.
Date: February 13, 2020
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/s/ ROBERT E. GRIFFIN
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ROBERT E. GRIFFIN
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