ESCA

SEC source: 0001179110-21-003076 · edgar.xml · derivative · entry 4

Glazer Walter P. Jr. · CIK 0001640328 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2022-03-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: 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).

F3 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which 2,500 RSUs vested on March 4, 2021, as reported in this Form 4. The remaining 2,500 RSUs will vest and settle on March 4, 2022, provided that the reporting person remains a director of Escalade as of such vesting date. All RSUs were settled in shares of ESCA common stock.

SEC source: 0001179110-21-003076 · edgar.xml · nonDerivative · entry 1

Glazer Walter P. Jr. · CIK 0001640328 · Director · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,832

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-21-003075 · edgar.xml · derivative · entry 5

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333

Underlying: Common Stock · 3,333 shares

Expires 2023-03-04

F2 · derivative.exercise_price: 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 · derivative.exercise_date: On March 4, 2021, the reporting person was granted 3,333 RSUs pursuant to the Escalade 2017 Plan, which will vest one-half on March 4, 2022 and one-half on March 4, 2023, provided that reporting person remains a director or Escalade as of such vesting date.

SEC source: 0001179110-21-003075 · edgar.xml · derivative · entry 4

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2022-03-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: 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).

F3 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which 2,500 RSUs vested on March 4, 2021, as reported in this Form 4. The remaining 2,500 RSUs will vest and settle on March 4, 2022, provided that the reporting person remains a director of Escalade as of such vesting date. All RSUs were settled in shares of ESCA common stock.

SEC source: 0001179110-21-003075 · edgar.xml · nonDerivative · entry 1

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,394

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-21-003074 · edgar.xml · derivative · entry 4

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,333

Underlying: Common Stock · 3,333 shares

Expires 2023-03-04

F2 · derivative.exercise_price: 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).

F4 · derivative.exercise_date: On March 4, 2021, the reporting person was granted 3,333 RSUs pursuant to the Escalade 2017 Plan, which will vest one-half on March 4, 2022 and one-half on March 4, 2023, provided that the reporting person remains a director of Escalade as of such vesting date.

SEC source: 0001179110-21-003074 · edgar.xml · derivative · entry 3

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2022-03-04

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: 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).

F3 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which 2,500 RSUs vested on March 4, 2021, as reported in this Form 4. The remaining 2,500 RSUs will vest and settle on March 4, 2022, provided that the reporting person remains a director of Escalade as of such vesting date. All RSUs were settled in shares of ESCA common stock.

SEC source: 0001179110-21-003074 · edgar.xml · nonDerivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,026

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-21-002565 · edgar.xml · derivative · entry 4

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 567 shares

Expires 2021-03-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of ESCA common stock pursuant to the Escalade, Incorporated 2007 Incentive Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt.

F3 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 1,700 RSUs, subject to vesting in one third increments on each of March 2, 2019, March 2, 2020, and March 2, 2021, if (1) the reporting person remained employed by Escalade on the applicable vesting date, and (2) certain market performance conditions established by the Compensation Committee of the Escalade Board of Directors were satisfied. The reporting person has been continuously employed by Escalade through March 2, 2021 and the market performance conditions were satisfied as of August 12, 2020. Two thirds (1,133) of the RSUs previously vested and settled as reported in a Form 4 filed August 13, 2020. This Form 4 reports the vesting and settlement of the remaining 567 RSUs on March 2, 2021.

SEC source: 0001179110-21-002565 · edgar.xml · nonDerivative · entry 1

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522,695.229

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-21-002564 · edgar.xml · derivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,367 shares

Expires 2021-03-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of ESCA common stock pursuant to the Escalade, Incorporated 2007 Incentive Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt.

F3 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 4,100 RSUs, subject to vesting in one third increments on each of March 2, 2019, March 2, 2020, and March 2, 2021, if (1) the reporting person remained employed by Escalade on the applicable vesting date, and (2) certain market performance conditions established by the Compensation Committee of the Escalade Board of Directors were satisfied. The reporting person has been continuously employed by Escalade through March 2, 2021 and the market performance conditions were satisfied as of August 12, 2020. Two thirds (2,733) of the RSUs previously vested and settled as reported in a Form 4 filed on August 13, 2020. This Form 4 reports the vesting and settlement of the remaining 1,367 RSUs on March 2, 2021.

SEC source: 0001179110-21-002564 · edgar.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,316

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-21-000720 · edgar.xml · nonDerivative · entry 1

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522,128.229

F1 · shares: On December 30, 2020, Mr. Griffin received 1,378 shares of Escalade common stock as a gift from his father, Mr. Robert E. Griffin.

SEC source: 0001179110-21-000719 · edgar.xml · nonDerivative · entry 1

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 639,160.629

F1 · shares: On December 30, 2020, Mr. Griffin gifted 1,378 shares to each of his four adult children, a total of 5,512 shares.

SEC source: 0001179110-21-001375 · edgar.xml · nonDerivative · entry 1

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 639,160.629

F1 · shares: On December 30, 2020, Mr. Griffin gifted 1,378 shares to each of his four adult children, a total of 5,512 shares.

SEC source: 0001179110-20-011812 · edgar.xml · nonDerivative · entry 3

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,332

SEC source: 0001179110-20-011812 · edgar.xml · nonDerivative · entry 2

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,448

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on December 9, 2020 at prices ranging from $18.47 to $18.50 per share.

F3 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the above footnotes.

SEC source: 0001179110-20-011812 · edgar.xml · nonDerivative · entry 1

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,448

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on December 8, 2020 at prices ranging from $18.435 to $18.75 per share.

F3 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the above footnotes.

SEC source: 0001179110-20-009000 · edgar.xml · derivative · entry 4

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567

Underlying: Common Stock · 1,133 shares

Expires 2021-03-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of ESCA common stock pursuant to the Escalade, Incorporated 2007 Incentive Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt.

F3 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 1,700 RSUs, subject to vesting in one third increments on each of March 2, 2019, March 2, 2020, and March 2, 2021, if (1) the reporting person remained employed by Escalade on the applicable vesting date, and (2) certain market performance conditions established by the Compensation Committee of the Escalade Board of Directors were satisfied. The reporting person has been continuously employed by Escalade and the market performance conditions were satisfied as of August 12, 2020. Therefore, on August 12, 2020, two thirds (1,133) of the RSUs vested and settled as reported in this Form 4. The performance conditions having been satisfied, the remaining 567 RSUs will vest on March 2, 2021, provided that the reporting person is still employed by Escalade on that date.

SEC source: 0001179110-20-009000 · edgar.xml · nonDerivative · entry 1

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 520,750.229

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-20-008999 · edgar.xml · derivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,367

Underlying: Common Stock · 2,733 shares

Expires 2021-03-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of ESCA common stock pursuant to the Escalade, Incorporated 2007 Incentive Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt.

F3 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 4,100 RSUs, subject to vesting in one third increments on each of March 2, 2019, March 2, 2020, and March 2, 2021, if (1) the reporting person remained employed by Escalade on the applicable vesting date, and (2) certain market performance conditions established by the Compensation Committee of the Escalade Board of Directors were satisfied. The reporting person has been continuously employed by Escalade and the market performance conditions were satisfied as of August 12, 2020. Therefore, on August 12, 2020, two thirds (2,733) of the RSUs vested and settled as reported in this Form 4. The performance conditions having been satisfied, the remaining 1,367 RSUs will vest on March 2, 2021, provided that the reporting person is still employed by Escalade on that date.

SEC source: 0001179110-20-008999 · edgar.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,949

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-20-008960 · edgar.xml · derivative · entry 4

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,134

Underlying: Common Stock · 283 shares

Expires 2022-03-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of ESCA common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt.

F3 · derivative.exercise_date: On March 8, 2018, the reporting person was granted 1,700 RSUs, one sixth (283) of which vested and settled on March 8,2020 as previously reported. As reported in this Form 4, on August 10, 2020, another one sixth (283) of the RSUs vested and settled upon the satisfaction of certain performance conditions established by the Compensation Committee of the Escalade Board of Directors. The performance conditions having been satisfied, the remaining RSUs will vest one third on each of March 8, 2021 and March 8, 2022, provided that the reporting person is still employed by Escalade on the applicable vesting date.

SEC source: 0001179110-20-008960 · edgar.xml · nonDerivative · entry 1

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,617.229

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-20-008956 · edgar.xml · derivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,734

Underlying: Common Stock · 683 shares

Expires 2022-03-08

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents a right to receive one share of ESCA common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt.

F3 · derivative.exercise_date: On March 8, 2018, the reporting person was granted 4,100 RSUs, one sixth (683) of which vested and settled on March 8,2020 as previously reported. As reported in this Form 4, on August 10, 2020, another one sixth (683) of the RSUs vested upon the satisfaction of certain performance conditions established by the Compensation Committee of the Escalade Board of Directors. The performance conditions having been satisfied, the remaining RSUs will vest one third on each of March 8, 2021 and March 8, 2022, provided that the reporting person is still employed by Escalade on the applicable vesting date.

SEC source: 0001179110-20-008956 · edgar.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,216

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.

SEC source: 0001179110-20-007786 · edgar.xml · nonDerivative · entry 2

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,326,736

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on June 24, 2020 at prices ranging from $12.48 to $12.91 per share.

F2 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in the above footnotes.

F3 · ownership.nature: Mr. Griffin 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. Patrick Griffin, his son, which shares are also included by Mr. Patrick Griffin on his Section 16 reports.

SEC source: 0001179110-20-007785 · edgar.xml · nonDerivative · entry 4

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,326,736

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on June 24, 2020 at prices ranging from $12.48 to $12.91 per share.

F3 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in the above footnotes.

F4 · ownership.nature: Mr. Griffin 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.

SEC source: 0001179110-20-007779 · edgar.xml · nonDerivative · entry 1

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,318,793

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on June 24, 2020 at prices ranging from $12.48 to $12.50 per share.

F2 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in the above footnotes.

F3 · ownership.nature: Mr. Griffin 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. Patrick Griffin, his son, which shares are also included by Mr. Patrick Griffin on his Section 16 reports.

SEC source: 0001179110-20-007776 · edgar.xml · nonDerivative · entry 3

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,318,793

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple open market transactions on June 24, 2020 at prices ranging from $12.48 to $12.50 per share.

F3 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in the above footnotes.

F4 · ownership.nature: Mr. Griffin 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.

SEC source: 0001104659-20-078316 · tm2023762-2_4a.xml · nonDerivative · entry 4

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,326,736

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on June 24, 2020 at prices ranging from $12.48 to $12.99 per share.

F3 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in the above footnotes.

F4 · ownership.nature: Mr. Griffin 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.

SEC source: 0001104659-20-078314 · tm2023762d1_4a.xml · nonDerivative · entry 2

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,326,736

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on June 24, 2020 at prices ranging from $12.48 to $12.99 per share.

F2 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in the above footnotes.

F3 · ownership.nature: Mr. Griffin 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. Patrick Griffin, his son, which shares are also included by Mr. Patrick Griffin on his Section 16 reports.

SEC source: 0001179110-20-007786 · edgar.xml · nonDerivative · entry 1

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,014

F3 · ownership.nature: Mr. Griffin 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. Patrick Griffin, his son, which shares are also included by Mr. Patrick Griffin on his Section 16 reports.

SEC source: 0001179110-20-007785 · edgar.xml · nonDerivative · entry 3

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,014

F4 · ownership.nature: Mr. Griffin 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.

SEC source: 0001179110-20-007785 · edgar.xml · nonDerivative · entry 2

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By adult son

Disclosed balance after: 2,000

F1 · kind: On June 23, 2020, Mr. Griffin gifted 2,000 shares to his adult son, who shares the same household. Mr. Griffin disclaims beneficial ownership of the shares held by his adult son, and this report should not be considered an admission that Mr. Griffin is the beneficial owner of his son's shares for purposes of Section 16 or any other purpose.

SEC source: 0001179110-20-007785 · edgar.xml · nonDerivative · entry 1

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,334.229

F1 · kind: On June 23, 2020, Mr. Griffin gifted 2,000 shares to his adult son, who shares the same household. Mr. Griffin disclaims beneficial ownership of the shares held by his adult son, and this report should not be considered an admission that Mr. Griffin is the beneficial owner of his son's shares for purposes of Section 16 or any other purpose.

SEC source: 0001179110-20-007776 · edgar.xml · nonDerivative · entry 2

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By adult son

Disclosed balance after: 2,000

F1 · kind: On June 23, 2020, Mr. Griffin gifted 2,000 shares to his adult son, who shares the same household. Mr. Griffin disclaims beneficial ownership of the shares held by his adult son, and this report should not be considered an admission that Mr. Griffin is the beneficial owner of his son's shares for purposes of Section 16 or any other purpose.

SEC source: 0001179110-20-007776 · edgar.xml · nonDerivative · entry 1

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,334.229

F1 · kind: On June 23, 2020, Mr. Griffin gifted 2,000 shares to his adult son, who shares the same household. Mr. Griffin disclaims beneficial ownership of the shares held by his adult son, and this report should not be considered an admission that Mr. Griffin is the beneficial owner of his son's shares for purposes of Section 16 or any other purpose.

SEC source: 0001104659-20-078316 · tm2023762-2_4a.xml · nonDerivative · entry 3

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,014

F4 · ownership.nature: Mr. Griffin 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.

SEC source: 0001104659-20-078316 · tm2023762-2_4a.xml · nonDerivative · entry 2

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By adult son

Disclosed balance after: 2,000

F1 · kind: On June 23, 2020, Mr. Griffin gifted 2,000 shares to his adult son, who shares the same household. Mr. Griffin disclaims beneficial ownership of the shares held by his adult son, and this report should not be considered an admission that Mr. Griffin is the beneficial owner of his son's shares for purposes of Section 16 or any other purpose.

SEC source: 0001104659-20-078316 · tm2023762-2_4a.xml · nonDerivative · entry 1

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,334.229

F1 · kind: On June 23, 2020, Mr. Griffin gifted 2,000 shares to his adult son, who shares the same household. Mr. Griffin disclaims beneficial ownership of the shares held by his adult son, and this report should not be considered an admission that Mr. Griffin is the beneficial owner of his son's shares for purposes of Section 16 or any other purpose.

SEC source: 0001104659-20-078314 · tm2023762d1_4a.xml · nonDerivative · entry 1

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,014

F3 · ownership.nature: Mr. Griffin 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. Patrick Griffin, his son, which shares are also included by Mr. Patrick Griffin on his Section 16 reports.

SEC source: 0001179110-20-007685 · edgar.xml · nonDerivative · entry 3

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,448

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on June 22, 2020 at prices ranging from $11.455 to $11.85 per share.

F3 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the above footnotes.

SEC source: 0001179110-20-007685 · edgar.xml · nonDerivative · entry 2

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,336

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on June 19, 2020 at prices ranging from $11.05 to $11.40 per share.

F3 · price: The reporting person undertakes to provide to Escalade, Incorporated, any Escalade security holder, or the SEC Staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the above footnotes.

SEC source: 0001179110-20-007685 · edgar.xml · nonDerivative · entry 1

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,075

SEC source: 0001179110-20-006668 · edgar.xml · nonDerivative · entry 1

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,815

F1 · shares: The grant of ESCA common stock is in lieu of cash compensation for services as a Director. The ESCA common stock is awarded pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan).

SEC source: 0001179110-20-006667 · edgar.xml · nonDerivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,526

F1 · shares: The grant of ESCA common stock is in lieu of cash compensation for services as a Director. The ESCA common stock is awarded pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan).

SEC source: 0001179110-20-006255 · edgar.xml · derivative · entry 1

Franklin Katherine F. · CIK 0001812157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,850

Underlying: Common Stock · 2,850 shares

Expires 2022-05-15

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of ESCA common stock granted pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan).

F2 · derivative.exercise_date: On May 15, 2020, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, which will vest one-half on May 15, 2021 and one-half on May 15, 2022, provided that the reporting person remains a director of Escalade as of such vesting date.

SEC source: 0001179110-20-006254 · edgar.xml · nonDerivative · entry 1

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,010

F1 · ownership.nature: Mr. Griffin 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. Patrick Griffin, his son, which shares are also included by Mr. Patrick Griffin on his Section 16 reports.

SEC source: 0001179110-20-006251 · edgar.xml · nonDerivative · entry 1

Griffin Patrick J · CIK 0001463197 · Director · Vice President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,010

F1 · ownership.nature: Mr. Griffin 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.