EDWARD E. WILLIAMS - 02 Mar 2022 Form 4/A - Amendment Insider Report for ESCALADE INC (ESCA)

Role
Director
Signature
/s/ EDWARD E. WILLIAMS
Issuer symbol
ESCA
Transactions as of
02 Mar 2022
Net transactions value
$0
Form type
4/A - Amendment
Filing time
07 Mar 2022, 15:35:22 UTC
Date Of Original Report
04 Mar 2022
Previous filing
25 Aug 2021
Next filing
06 Mar 2023
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 +2,500 +1.8% 142,319 04 Mar 2022 Direct F1
transaction ESCA Common Stock Options Exercise +1,666 +1.2% 143,985 04 Mar 2022 Direct F1
holding ESCA Common Stock 289,487 02 Mar 2022 By KPW Family Limited Partnership F2

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 +5,000 $0.000000 5,000 02 Mar 2022 Common Stock 5,000 Direct F3, F4
transaction ESCA Restricted Stock Units Options Exercise $0 -2,500 -100% $0.000000* 0 04 Mar 2022 Common Stock 2,500 Direct F1, F3, F5
transaction ESCA Restricted Stock Units Options Exercise $0 -1,666 -50% $0.000000 1,667 04 Mar 2022 Common Stock 1,666 Direct F1, F3, F6
* 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 The reporting person is a general partner of KPW Family Limited Partnership.
F3 Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan).
F4 On March 2, 2022, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which one half will vest on March 2, 2023 and one half on March 2, 2024, provided that the reporting person remains a director of Escalade.
F5 On March 4, 2020, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which 2,500 RSUs vested and settled on March 4, 2021. The remaining 2,500 RSUs vested and settled on March 4, 2022, as reported on this Form 4. All RSUs settle in shares of ESCA common stock.
F6 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 reported in this Form 4. The remaining 1,667 RSUs will vest and settle on March 4, 2023, provided that the reporting person remains a director of Escalade as of such vesting date. All RSUs settle in shares of ESCA common stock.

Remarks:

This Amendment is filed to correct the number of shares beneficially owned directly and indirectly by the reporting person, which numbers were erroneously reversed in the initial filing.