|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units | (1) (5) | 02/26/2017 | M | 1,325 | (6) | (6) | Common Stock | 1,325 | $ 0 | 1,325 | D | ||||
Restricted Stock Units | (1) (5) | 02/27/2017 | M | 1,000 | (7) | (7) | Common Stock | 1,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Williams Edward E PO BOX 50 CRYSTAL CITY, MO 63019 |
X |
/s/EDWARD E. WILLIAMS | 02/27/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Restricted Stock Units (RSUs converted into common stock on a one-for-one basis. |
(2) | Mr. Williams is a general partner of PAW Family Limited Partnership L.P. |
(3) | Mr. Williams owns 33% of the outstanding shares of Good Earth Tools, Inc. and is an executive officer of same. |
(4) | Mr. Williams is a general partner of KPW Family Limited Partnership. |
(5) | Each RSU represents a right to receive one share of ESCA common stock granted pursuant to the Escalade, Incorporated 2007 Incentive Plan. Vested shares will be delivered to the reporting person as such time unless the reporting person has deferred receipt. |
(6) | On February 26, 2016, the reporting person was granted 2,650 RSUs which vested one half on February 26, 2017 and were settled in shares of common stock as being reported on this Form 4. The remaining 1,325 RSUs will vest on February 26, 2018 provided the reporting person remains a director through that date. |
(7) | On February 27, 2015, the reporting person was granted 2,000 RSUs which vested one half on February 27, 2016 (as previously reported on Form 4) and one half on February 27, 2017 (as being reported on this Form 4). All RSUs were settled in shares of common stock. |