Stephen Wawrin - Mar 2, 2024 Form 4 Insider Report for ESCALADE INC (ESCA)

Role
CHIEF FINANCIAL OFFICER
Signature
/s/ STEPHEN WAWRIN
Stock symbol
ESCA
Transactions as of
Mar 2, 2024
Transactions value $
$0
Form type
4
Date filed
3/5/2024, 04:32 PM
Previous filing
Dec 13, 2023
Next filing
Apr 4, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ESCA Common Stock Options Exercise +2.5K +7.58% 35.5K Mar 2, 2024 Direct F1
transaction ESCA Common Stock Options Exercise +2.78K +7.82% 38.3K Mar 3, 2024 Direct F1
transaction ESCA Common Stock Options Exercise +1.03K +2.7% 39.3K Mar 4, 2024 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 Options Exercise $0 -2.5K -50% $0.00 2.5K Mar 2, 2024 Common Stock 2.5K Direct F1, F2, F3
transaction ESCA Restricted Stock Units Options Exercise $0 -1.03K -100% $0.00* 0 Mar 4, 2024 Common Stock 1.03K Direct F1, F2, F4
transaction ESCA Restricted Stock Units Options Exercise $0 -2.78K -33.33% $0.00 5.55K Mar 3, 2024 Common Stock 2.78K Direct 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 2,500 RSUs vested and settled on March 2, 2023, as previously reported. An additional 2,500 RSUs vested on March 2, 2024 and settled on March 4, 2024, as reported on this Form 4. The remaining 2,500 RSUs will vest on March 2, 2025, provided that the reporting person remains an officer of Escalade. All RSUs settle in shares of ESCA common stock.
F4 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 and 1,032 RSUs vested and settled on March 4, 2023, as previously reported. The remaining 1,032 RSUs vested and settled on March 4, 2024, as reported on this Form 4. All RSUs settle in shares of ESCA common stock.
F5 On March 3, 2023, the reporting person was granted 8,331 RSUs pursuant to the Escalade 2017 Plan, of which 2,770 RSUs vested on March 3, 2024 and settled on March 4, 2024, as reported on this Form 4. The remaining 5,554 RSUs will vest one half on March 3, 2025 and one half on March 3, 2026, provided that the reporting person remains an officer of Escalade. All RSUs settle in shares of ESCA common stock.