Statement of Changes in Beneficial Ownership (4)
May 18 2021 - 4:12PM
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
*
Franklin Katherine F. |
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 _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
817 MAXWELL AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/14/2021 |
(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 | 5/14/2021 | | A | | 588 (1) | A | $23.79 | 6588 | D | |
Common Stock | 5/15/2021 | | A | | 1425 | A | (2) | 8013 | 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 | (2)(3) | 5/15/2021 | | M | | | 1425 | (4) | 5/15/2022 | Common Stock | 1425 | $0 | 1425 | D | |
Explanation of Responses: |
(1) | The grant of ESCA common stock is in lieu of cash compensation for services as a Director. The ESCA common stock is awarded pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). |
(2) | Each Restricted Stock Unit (RSU) converted into common stock on a one-for-one basis. |
(3) | Each RSU represents a right to receive one share of ESCA common stock pursuant to the Escalade 2017 Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt. |
(4) | On May 15, 2020, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, one-half (1,425) of which vested and settled on May 15, 2021 as reported in this Form 4. The remaining RSUs will vest on May 15, 2022, provided that the reporting person remains a director of Escalade as of such vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Franklin Katherine F. 817 MAXWELL AVENUE EVANSVILLE, IN 47711 | X |
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Signatures
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/s/ KATHERINE F. FRANKLIN | | 5/18/2021 |
**Signature of Reporting Person | Date |
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