| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | ESCA | Common Stock | Options Exercise | +1,667 | +0.3% | 549,216 | 02 Mar 2024 | Direct | F1 | ||
| transaction | ESCA | Common Stock | Options Exercise | +1,850 | +0.34% | 551,066 | 03 Mar 2024 | Direct | F1 | ||
| transaction | ESCA | Common Stock | Options Exercise | +1,032 | +0.19% | 552,098 | 04 Mar 2024 | Direct | F1 | ||
| holding | ESCA | Common Stock | 2,000 | 02 Mar 2024 | By adult son | F2 | |||||
| holding | ESCA | Common Stock | 1,326,736 | 02 Mar 2024 | 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 | -1,667 | -50% | $0.000000 | 1,667 | 02 Mar 2024 | Common Stock | 1,667 | Direct | F1, F4, F5 | |
| transaction | ESCA | Restricted Stock Units | Options Exercise | $0 | -1,032 | -100% | $0.000000* | 0 | 04 Mar 2024 | Common Stock | 1,032 | Direct | F1, F4, F6 | |
| transaction | ESCA | Restricted Stock Units | Options Exercise | $0 | -1,850 | -33% | $0.000000 | 3,700 | 03 Mar 2024 | Common Stock | 1,850 | Direct | F4, F7 |
| 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 ESCA common stock granted pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan). |
| F5 | On March 2, 2022, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which 1,666 RSUs vested and settled on March 2, 2023, as previously reported . An additional 1,667 RSUs vested on March 2, 2024 and settled on March 4, 2024, as reported on this Form 4. The remaining 1,667 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. |
| F6 | 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. |
| F7 | On March 3, 2023, the reporting person was granted 5,550 RSUs pursuant to the Escalade 2017 Plan, of which one third vested on March 3, 2024 and settled on March 4, 2024, as reported on this Form 4. The remaining 3,700 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. |