Statement of Changes in Beneficial Ownership (4)
April 27 2020 - 5:02PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Fetherman David L. |
2. Issuer Name and Ticker or Trading Symbol
ESCALADE INC
[
ESCA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Chief Executive Officer |
(Last)
(First)
(Middle)
817 MAXWELL AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/24/2020 |
(Street)
EVANSVILLE, IN 47711
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 4/24/2020 | | M | | 5832 | A | (1) | 113584 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1)(2) | 4/24/2020 | | M | | | 1166 | (3) | 3/8/2022 | Common Stock | 1166 | $0 | 4668 | D | |
Restricted Stock Units | (1)(2) | 4/24/2020 | | M | | | 4666 | (4) | 3/2/2021 | Common Stock | 4666 | $0 | 2334 | D | |
Explanation of Responses: |
(1) | Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
(2) | Each restricted stock unit (RSU) represents a right to receive one share of ESCA common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt. |
(3) | On March 8, 2018, the reporting person was granted 7,000 RSUs, one sixth (1,166) of which vested and settled on April 24,2020 as reported in this Form 4 upon the reporting person's retirement, and 1,166 of which vested and settled on March 8, 2020 as previously reported. The remaining 4,668 RSUs will vest 2,334 on March 8, 2021, and 2,334 on March 8, 2022, provided that the reporting person is still an Escalade employee or consultant on the applicable vesting date. |
(4) | On March 2, 2017, the reporting person was granted 7,000 RSUs, two thirds (4,666) of which vested and settled on April 24,2020 as reported in this Form 4 upon the reporting person's retirement. The remaining 2,334 RSUs will vest on March 2, 2021, provided that the reporting person is still an Escalade employee or consultant on the applicable vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Fetherman David L. 817 MAXWELL AVENUE EVANSVILLE, IN 47711 | X |
| Chief Executive Officer |
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Signatures
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/s/DAVID L. FETHERMAN | | 4/27/2020 |
**Signature of Reporting Person | Date |
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