| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ESCA | Common Stock | Options Exercise | +2.1K | +0.4% | 530K | Mar 6, 2022 | Direct | F1 | ||
| transaction | ESCA | Common Stock | Options Exercise | +568 | +0.11% | 531K | Mar 8, 2022 | Direct | F1 | ||
| holding | ESCA | Common Stock | 2K | Mar 6, 2022 | By adult son | F2 | |||||
| holding | ESCA | Common Stock | 1.33M | Mar 6, 2022 | By Family Limited Partnership | F3 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ESCA | Restricted Stock Units | Options Exercise | $0 | -2.1K | -100% | $0.00* | 0 | Mar 6, 2022 | Common Stock | 2.1K | Direct | F1, F4, F5 | |
| transaction | ESCA | Restricted Stock Units | Options Exercise | $0 | -568 | -100% | $0.00* | 0 | Mar 8, 2022 | Common Stock | 568 | Direct | F1, F4, F6 |
| Id | Content |
|---|---|
| F1 | Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. |
| F2 | Mr. Griffin disclaims beneficial interest in shares held by his adult son, except to the extent of his pecuniary interest therein. |
| F3 | This reporting person disclaims beneficial ownership in shares held by the family limited partnership, except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports. |
| F4 | Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). |
| F5 | On March 6, 2019, the reporting person was granted 2,100 RSUs pursuant to the Escalade 2017 Plan, which RSUs vested and settled in full on March 6, 2022 as reported on this Form 4 upon the satisfaction of the applicable performance conditions and the reporting person having been continuously employed by Escalade. All RSUs settle in shares of ESCA common stock. |
| F6 | On March 8, 2018, the reporting person was granted 1,700 RSUs pursuant to the Escalade 2017 Plan, of which 568 RSUs vested and settled on March 8, 2022 as reported on this Form 4 upon the satisfaction of the applicable performance conditions and the reporting person having been continuously employed by Escalade. As previously reported, 566 RSUs vested and settled on each of March 8, 2020 and March 8, 2021. All RSUs settle in shares of ESCA common stock. |