Stephen Wawrin - 02 Mar 2022 Form 4/A - Amendment Insider Report for ESCALADE INC (ESCA)

Role
CHIEF FINANCIAL OFFICER
Signature
/s/ STEPHEN WAWRIN
Issuer symbol
ESCA
Transactions as of
02 Mar 2022
Net transactions value
$0
Form type
4/A - Amendment
Filing time
04 Mar 2022, 17:41:46 UTC
Date Of Original Report
04 Mar 2022
Previous filing
24 Jun 2021
Next filing
08 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ESCA Common Stock Options Exercise +3,667 +15% 28,667 04 Mar 2022 Direct F1
transaction ESCA Common Stock Options Exercise +1,031 +3.6% 29,698 04 Mar 2022 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ESCA Restricted Stock Units Award $0 +7,500 $0.000000 7,500 02 Mar 2022 Common Stock 7,500 Direct F2, F3
transaction ESCA Restricted Stock Units Options Exercise $0 -3,667 -50% $0.000000 3,667 04 Mar 2022 Common Stock 3,667 Direct F1, F2, F4
transaction ESCA Restricted Stock Units Options Exercise $0 -1,031 -33% $0.000000 2,064 04 Mar 2022 Common Stock 1,031 Direct F1, F2, F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.
F2 Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan).
F3 On March 2, 2022, the reporting person was granted 7,500 RSUs pursuant to the Escalade 2017 Plan, of which one third will vest on March 2, 2023, one third on March 2, 2024 and one third on March 2, 2025, provided that the reporting person remains an officer of Escalade.
F4 On March 4, 2020, the reporting person was granted 11,000 RSUs pursuant to the Escalade 2017 Plan, of which 3,666 RSUs vested and settled on March 4, 2021. An additional 3,667 RSUs vested and settled on March 4, 2022, as reported on this Form 4. The remaining 3,667 RSUs will vest and settle on March 4, 2023, provided that the reporting person remains an officer of Escalade as of such vesting date. All RSUs settle in shares of ESCA common stock.
F5 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 reported in this Form 4. One half of the remaining 2,064 RSUs will vest and settle on March 4, 2023 and the other half will vest and settle 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.

Remarks:

This amendment is filed solely to correct footnote 5, which inadvertently referred to continued service as a director rather than as an officer in the original filing.