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ESCA Escalade Inc

13.51
0.02 (0.15%)
20 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Escalade Inc NASDAQ:ESCA NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.02 0.15% 13.51 13.15 16.99 13.7248 13.45 13.45 9,501 21:30:00

Amended Statement of Changes in Beneficial Ownership (4/a)

06/03/2020 10:59pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Baalmann Richard Fenton JR
2. Issuer Name and Ticker or Trading Symbol

ESCALADE INC [ ESCA ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

__X__ Director                    _____ 10% Owner
_____ Officer (give title below)    _____ Other (specify below)
(Last)          (First)          (Middle)

11634 SERAMA DRIVE
3. Date of Earliest Transaction (MM/DD/YYYY)

3/4/2020
(Street)

ST. LOUIS, MO 63131
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

3/5/2020 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(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)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units  (1)3/4/2020  A   5000     (2)3/4/2022 Common Stock 5000 (3)$0 5000 (3)D  

Explanation of Responses:
(1) 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).
(2) On March 4, 2020, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, which will vest one-half on March 4, 2021 and one-half on March 4, 2022, provided that the reporting person remains a director of Escalade as of such vesting date.
(3) This amendment is being filed solely for the purpose of correcting a scrivener error in this item. The correct number is "5,000" as shown herein, and not "3,000" as was inadvertently entered in the original filing.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Baalmann Richard Fenton JR
11634 SERAMA DRIVE
ST. LOUIS, MO 63131
X



Signatures
/s/RICHARD F. BAALMANN, JR.3/6/2020
**Signature of Reporting PersonDate

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