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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WHITE RICHARD C/O ESCALADE INCORPORATED 817 MAXWELL AVE EVANSVILLE, IN 47711 |
X |
/s/ Richard White | 08/11/2017 | |
**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) | As part of Mr. White's personal planning, he and his wife gifted a total of 2,180 shares of common stock to each of their adult daughters who in turn each deposited the shares into trusts of which Mr. White is the trustee. As the first step in such planning, Mr. White transferred 2,260 Escalade shares to his wife. Upon completion of all the transactions reported herein Mr. White's total beneficial ownership of 149,862 shares is unchanged but 4,360 shares are now indirectly owned and 145,502 shares are directly owned. |
(2) | Mr. White gifted 1,050 Escalade shares to each of his adult daughters. |
(3) | Mr. White's spouse gifted 1,130 Escalade shares to each of their adult daughters. |
(4) | Mr. White's adult daughter, Elizabeth White, transferred the gifted 2,180 Escalade shares to the Elizabeth White 2015 Trust. Mr. White is the trustee of the trust. |
(5) | Mr. White's adult daughter, Alexandra White, transferred the gifted 2,180 Escalade shares to the Alexandra White Grantor Trust 2015. Mr. White is the trustee of the trust. |