ESCA

SEC source: 0001179110-20-003185 · edgar.xml · derivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2022-03-04

F1 · 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).

F2 · derivative.exercise_date: 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.

SEC source: 0001179110-20-003184 · edgar.xml · derivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2023-03-04

F1 · 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.

F2 · derivative.exercise_date: On March 4, 2020, the reporting person was granted 11,000 RSUs. The RSUs will vest in annual one third increments beginning on March 4, 2021 provided that the reporting person is still employed by Escalade on March 4 of the applicable year.

SEC source: 0001179110-20-003253 · edgar.xml · derivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2022-03-04

F1 · 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).

F2 · derivative.exercise_date: 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.

F3 · derivative.underlying_shares: 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.

F3 · balance_after: 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.

SEC source: 0001179110-20-002515 · 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 not disclosed

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 2007 Incentive Plan ("Escalade 2007 Plan").

F3 · derivative.exercise_date: On February 26, 2016, Mr. Wawrin was granted 4,100 RSUs pursuant to the Escalade 2007 Plan. As previously reported, 1,366 RSUs vested and settled on June 26, 2018 and another 1,367 RSUs vested and settled on February 26, 2019. The remaining 1,367 RSUs vested and settled on February 26, 2020 as reported in this Form 4. Vesting for all 4,100 RSUs was subject to his continued employment and to ESCA common stock achieving certain market performance tests, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

F3 · derivative.expiration_date: On February 26, 2016, Mr. Wawrin was granted 4,100 RSUs pursuant to the Escalade 2007 Plan. As previously reported, 1,366 RSUs vested and settled on June 26, 2018 and another 1,367 RSUs vested and settled on February 26, 2019. The remaining 1,367 RSUs vested and settled on February 26, 2020 as reported in this Form 4. Vesting for all 4,100 RSUs was subject to his continued employment and to ESCA common stock achieving certain market performance tests, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

SEC source: 0001179110-20-002515 · edgar.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,850

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: 0001179110-20-002513 · edgar.xml · derivative · entry 3

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 not disclosed

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 2007 Incentive Plan ("Escalade 2007 Plan").

F3 · derivative.exercise_date: On February 26, 2016, Mr. Griffin was granted 1,700 RSUs pursuant to the Escalade 2007 Plan. As previously reported, 566 RSUs vested and settled on June 26, 2018 and another 567 RSUs vested and settled on February 26, 2019. The remaining 567 RSUs vested and settled on February 26, 2020 as reported in this Form 4. Vesting for all 1,700 RSUs was subject to his continued employment and to ESCA common stock achieving certain market performance tests, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

F3 · derivative.expiration_date: On February 26, 2016, Mr. Griffin was granted 1,700 RSUs pursuant to the Escalade 2007 Plan. As previously reported, 566 RSUs vested and settled on June 26, 2018 and another 567 RSUs vested and settled on February 26, 2019. The remaining 567 RSUs vested and settled on February 26, 2020 as reported in this Form 4. Vesting for all 1,700 RSUs was subject to his continued employment and to ESCA common stock achieving certain market performance tests, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

SEC source: 0001179110-20-002513 · 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: 521,051.229

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: 0001179110-20-002511 · 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 not disclosed

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 2007 Incentive Plan ("Escalade 2007 Plan").

F3 · derivative.exercise_date: On February 26, 2016, Mr. Wawrin was granted 4,100 RSUs pursuant to the Escalade 2007 Plan. As previously reported, 1,366 RSUs vested and settled on June 26, 2018 and another 1,367 RSUs vested and settled on February 26, 2019. The remaining 1,367 RSUs vested and settled on February 26, 2020 as reported in this Form 4. Vesting for all 6,800 RSUs was subject to his continued employment and to ESCA common stock achieving certain market performance tests, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

F3 · derivative.expiration_date: On February 26, 2016, Mr. Wawrin was granted 4,100 RSUs pursuant to the Escalade 2007 Plan. As previously reported, 1,366 RSUs vested and settled on June 26, 2018 and another 1,367 RSUs vested and settled on February 26, 2019. The remaining 1,367 RSUs vested and settled on February 26, 2020 as reported in this Form 4. Vesting for all 6,800 RSUs was subject to his continued employment and to ESCA common stock achieving certain market performance tests, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

SEC source: 0001179110-20-002511 · edgar.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,850

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: 0001179110-20-002509 · edgar.xml · derivative · entry 2

Fetherman David L. · CIK 0001660416 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,267 shares

Expires not disclosed

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 2007 Incentive Plan ("Escalade 2007 Plan").

F3 · derivative.exercise_date: On February 26, 2016, Mr. Fetherman was granted 6,800 RSUs pursuant to the Escalade 2007 Plan. As previously reported, 2,266 RSUs vested and settled on June 26, 2018 and another 2,267 RSUs vested and settled on February 26, 2019. The remaining 2,267 RSUs vested and settled on February 26, 2020 as reported in this Form 4. Vesting for all 6,800 RSUs was subject to his continued employment and to ESCA common stock achieving certain market performance tests, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

F3 · derivative.expiration_date: On February 26, 2016, Mr. Fetherman was granted 6,800 RSUs pursuant to the Escalade 2007 Plan. As previously reported, 2,266 RSUs vested and settled on June 26, 2018 and another 2,267 RSUs vested and settled on February 26, 2019. The remaining 2,267 RSUs vested and settled on February 26, 2020 as reported in this Form 4. Vesting for all 6,800 RSUs was subject to his continued employment and to ESCA common stock achieving certain market performance tests, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

SEC source: 0001179110-20-002509 · edgar.xml · nonDerivative · entry 1

Fetherman David L. · CIK 0001660416 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,586

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: 0001179110-19-012925 · edgar.xml · nonDerivative · entry 1

Fetherman David L. · CIK 0001660416 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,319

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at process ranging from $10.07 to $10.74, inclusive. 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 this footnote.

SEC source: 0001179110-19-011565 · edgar.xml · nonDerivative · entry 1

GRIFFIN ROBERT E · CIK 0000901806 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 644,672.629

F1 · shares: On November 7, 2019, Mr. Griffin gifted 2,600 shares to each of his four adult children, a total of 10,400 shares.

SEC source: 0001179110-19-011569 · 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: 520,484.229

F1 · shares: On November 7, 2019, Mr. Griffin received 2,600 shares of Escalade common stock as a gift from his father, Mr. Robert E. Griffin.

SEC source: 0001179110-19-010334 · edgar.xml · nonDerivative · entry 2

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By PAW Family Limited Partnership

Disclosed balance after: 10,999

F2 · ownership.nature: Mr. Williams is a general partner of the PAW FLP.

SEC source: 0001179110-19-010334 · edgar.xml · nonDerivative · entry 1

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By PAW Family Limited Partnership

Disclosed balance after: 12,581

F2 · ownership.nature: Mr. Williams is a general partner of the PAW FLP.

SEC source: 0001179110-19-010185 · edgar.xml · nonDerivative · entry 1

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By PAW Family Limited Partnership

Disclosed balance after: 14,409

F2 · ownership.nature: Mr. Williams is a general partner of the PAW FLP.

SEC source: 0001179110-19-006930 · edgar.xml · nonDerivative · entry 1

WHITE RICHARD · CIK 0001195859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,346

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: 0001179110-19-006927 · edgar.xml · nonDerivative · entry 1

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,609

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: 0001179110-19-006925 · edgar.xml · nonDerivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,101

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: 0001179110-19-003661 · edgar.xml · derivative · entry 5

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,425

Underlying: Common Stock · 1,425 shares

Expires not disclosed

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 8, 2018, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 8, 2019, as reported in this Form 4. The remaining 1,425 RSUs will vest and settle on March 8, 2020, 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

F3 · derivative.expiration_date: On March 8, 2018, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 8, 2019, as reported in this Form 4. The remaining 1,425 RSUs will vest and settle on March 8, 2020, 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: 0001179110-19-003661 · edgar.xml · nonDerivative · entry 1

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,044

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: 0001179110-19-003659 · edgar.xml · derivative · entry 4

WHITE RICHARD · CIK 0001195859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,425

Underlying: Common Stock · 1,425 shares

Expires not disclosed

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 8, 2018, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, of which 1,425 RSUs vested and settled on March 8, 2019, as reported in this Form. The remaining 1,425 RSUs will vest and settle on March 8, 2020, 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

F3 · derivative.expiration_date: On March 8, 2018, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, of which 1,425 RSUs vested and settled on March 8, 2019, as reported in this Form. The remaining 1,425 RSUs will vest and settle on March 8, 2020, 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: 0001179110-19-003659 · edgar.xml · nonDerivative · entry 1

WHITE RICHARD · CIK 0001195859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,921

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: 0001179110-19-003644 · edgar.xml · derivative · entry 3

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,425

Underlying: Common Stock · 1,425 shares

Expires not disclosed

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 8, 2018, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, of which 1,425 RSUs vested and settled on March 8, 2019, as reported in this Form 4. The remaining 1,425 RSUs will vest and settle on March 8, 2020, 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.

F3 · derivative.expiration_date: On March 8, 2018, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, of which 1,425 RSUs vested and settled on March 8, 2019, as reported in this Form 4. The remaining 1,425 RSUs will vest and settle on March 8, 2020, 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: 0001179110-19-003644 · edgar.xml · nonDerivative · entry 1

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,707

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: 0001179110-19-003633 · edgar.xml · derivative · entry 2

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,425

Underlying: Common Stock · 1,425 shares

Expires not disclosed

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 8, 2018, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, of which 1,425 RSUs vested and settled on March 8, 2019, as reported in this Form 4. The remaining 1,425 RSUs will vest and settle on March 8, 2020, 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

F3 · derivative.expiration_date: On March 8, 2018, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, of which 1,425 RSUs vested and settled on March 8, 2019, as reported in this Form 4. The remaining 1,425 RSUs will vest and settle on March 8, 2020, 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: 0001179110-19-003633 · edgar.xml · nonDerivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,229

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: 0001660412-19-000008 · primary_doc.xml · nonDerivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,589

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.

F2 · balance_after: In the original Form 4 filing, the number of shares directly owned was incorrectly reported as 92,229, which related to an error in the reporting person's Form 4 originally filed on March 4, 2019, and subsequently corrected via a Form 4/A filed immediately prior to this Form 4/A. The sole purpose of this Amendment is to report the correct number of shares directly owned as of March 8, 2019, which number was 92,589.

SEC source: 0001179110-19-003629 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,100

Underlying: Common Stock · 2,100 shares

Expires 2022-03-06

F1 · 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.

F2 · derivative.exercise_date: On March 6, 2019, the reporting person was granted 2,100 RSUs. The RSUs will vest in their entirety, if at all, on March 6, 2022 provided that the reporting person (1) is still employed by Escalade on that date, and (2) Escalade has achieved certain performance conditions established by the Compensation Committee of the Escalade Board of Directors.

SEC source: 0001179110-19-003661 · edgar.xml · derivative · entry 6

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,850

Underlying: Common Stock · 2,850 shares

Expires 2021-03-06

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).

F7 · derivative.exercise_date: On March 6, 2019, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, which will vest one-half on March 6, 2020 and one-half on March 6, 2021, provided that the reporting person remains a director of Escalade as of such vesting date.

SEC source: 0001179110-19-003659 · edgar.xml · derivative · entry 5

WHITE RICHARD · CIK 0001195859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,850

Underlying: Common Stock · 2,850 shares

Expires 2021-03-06

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 6, 2019, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, which will vest one-half on March 6, 2020 and one-half on March 6, 2021, provided that the reporting person remains a director of Escalade as of such vesting date.

SEC source: 0001179110-19-003644 · edgar.xml · derivative · entry 4

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,850

Underlying: Common Stock · 2,850 shares

Expires 2021-03-06

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 6, 2019, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, which will vest one-half on March 6, 2020 and one-half on March 6, 2021, provided that the reporting person remains a director of Escalade as of such vesting date.

SEC source: 0001179110-19-003633 · edgar.xml · derivative · entry 3

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,850

Underlying: Common Stock · 2,850 shares

Expires 2021-03-06

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 6, 2019, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2017 Plan, which will vest one-half on March 6, 2020 and one-half on March 6, 2021, provided that the reporting person remains a director of Escalade as of such vesting date.

SEC source: 0001179110-19-003627 · edgar.xml · derivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,800

Underlying: Common Stock · 4,800 shares

Expires 2022-03-06

F1 · 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.

F2 · derivative.exercise_date: On March 6, 2019, the reporting person was granted 4,800 RSUs. The RSUs will vest in their entirety, if at all, on March 6, 2022 provided that the reporting person (1) is still employed by Escalade on that date, and (2) Escalade has achieved certain performance conditions established by the Compensation Committee of the Escalade Board of Directors.

SEC source: 0001179110-19-003618 · edgar.xml · derivative · entry 1

Fetherman David L. · CIK 0001660416 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2022-03-06

F1 · 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.

F2 · derivative.exercise_date: On March 6, 2019, the reporting person was granted 8,000 RSUs. The RSUs will vest in their entirety, if at all, on March 6, 2022 provided that the reporting person (1) is still employed by Escalade on that date, and (2) Escalade has achieved certain performance conditions established by the Compensation Committee of the Escalade Board of Directors.

SEC source: 0001179110-19-003170 · edgar.xml · derivative · entry 5

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,425 shares

Expires not disclosed

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 2007 Incentive Plan (Escalade 2007 Plan).

F3 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock

F3 · derivative.expiration_date: On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock

SEC source: 0001179110-19-003170 · edgar.xml · nonDerivative · entry 1

Williams Edward E · CIK 0001289071 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,619

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: 0001179110-19-003164 · edgar.xml · derivative · entry 4

WHITE RICHARD · CIK 0001195859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,425 shares

Expires not disclosed

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 2007 Incentive Plan (Escalade 2007 Plan).

F3 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock

F3 · derivative.expiration_date: On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock

SEC source: 0001179110-19-003164 · edgar.xml · nonDerivative · entry 1

WHITE RICHARD · CIK 0001195859 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,496

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: 0001179110-19-003162 · edgar.xml · derivative · entry 3

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,425 shares

Expires not disclosed

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 2007 Incentive Plan (Escalade 2007 Plan).

F3 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock

F3 · derivative.expiration_date: On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock

SEC source: 0001179110-19-003162 · edgar.xml · nonDerivative · entry 1

Glazer Walter P. Jr. · CIK 0001640328 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,282

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: 0001179110-19-003152 · edgar.xml · derivative · entry 2

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,425 shares

Expires not disclosed

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 2007 Incentive Plan (Escalade 2007 Plan).

F3 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock

F3 · derivative.expiration_date: On March 2, 2017, the reporting person was granted 2,850 RSUs pursuant to the Escalade 2007 Plan, of which 1,425 RSUs vested and settled on March 2, 2018, as previously reported. The remaining 1,425 RSUs vested and settled on March 2, 2019, as reported in this Form 4. All RSUs were settled in shares of ESCA common stock

SEC source: 0001179110-19-003152 · edgar.xml · nonDerivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,804

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: 0001660412-19-000007 · primary_doc.xml · nonDerivative · entry 1

Baalmann Richard Fenton JR · CIK 0001356214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,164

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.

F2 · balance_after: In the original Form 4 filing, the number of shares directly owned was incorrectly entered as 90,804 due to scrivener error. The sole purpose of this Amendment is to report the correct number of shares directly owned as of March 2, 2019, which number was 91,164.

SEC source: 0001660412-19-000004 · primary_doc.xml · derivative · entry 4

Fetherman David L. · CIK 0001660416 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,300 shares

Expires not disclosed

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 2007 Incentive Plan ("Escalade 2007 Plan").

F4 · derivative.exercise_date: On February 27, 2015, Mr. Fetherman was granted 6,900 RSUs pursuant to the Escalade 2007 Plan. 2,300 RSUs vested and settled on February 27, 2017 and another 2,300 RSUs vested and settled on February 27, 2018, as previously reported. The remaining 2,300 RSUs vested and settled on February 27, 2019 as reported in this Form 4. Vesting for all 6,900 RSUs was subject to ESCA common stock achieving certain market performance tests established by Escalade's Compensation Committee, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

F4 · derivative.expiration_date: On February 27, 2015, Mr. Fetherman was granted 6,900 RSUs pursuant to the Escalade 2007 Plan. 2,300 RSUs vested and settled on February 27, 2017 and another 2,300 RSUs vested and settled on February 27, 2018, as previously reported. The remaining 2,300 RSUs vested and settled on February 27, 2019 as reported in this Form 4. Vesting for all 6,900 RSUs was subject to ESCA common stock achieving certain market performance tests established by Escalade's Compensation Committee, which tests have been satisfied. All RSUs were settled in shares of ESCA common stock.

SEC source: 0001660412-19-000004 · primary_doc.xml · nonDerivative · entry 2

Fetherman David L. · CIK 0001660416 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,862

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: 0001660412-19-000006 · primary_doc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 317 shares

Expires not disclosed

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 2007 Incentive Plan ("Escalade 2007 Plan"). All RSUs settle in shares of ESCA common stock.

F4 · derivative.exercise_date: On February 27, 2015, Mr. Griffin was granted 950 RSUs pursuant to the Escalade 2007 Plan. 316 RSUs vested and settled on February 27, 2017 and another 317 RSUs vested and settled on February 27, 2018, as previously reported. On February 27, 2019, the remaining 317 RSUs vested and settled, as reported on this Form 4. Vesting for all 950 RSUs also was subject to ESCA common stock achieving certain market performance tests established by Escalade's Compensation Committee, which tests have been satisfied.

F4 · derivative.expiration_date: On February 27, 2015, Mr. Griffin was granted 950 RSUs pursuant to the Escalade 2007 Plan. 316 RSUs vested and settled on February 27, 2017 and another 317 RSUs vested and settled on February 27, 2018, as previously reported. On February 27, 2019, the remaining 317 RSUs vested and settled, as reported on this Form 4. Vesting for all 950 RSUs also was subject to ESCA common stock achieving certain market performance tests established by Escalade's Compensation Committee, which tests have been satisfied.

SEC source: 0001660412-19-000006 · primary_doc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,884.229

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: 0001660412-19-000005 · primary_doc.xml · derivative · entry 4

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,025 shares

Expires not disclosed

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 2007 Incentive Plan ("Escalade 2007 Plan"). All RSUs settle in shares of ESCA common stock.

F4 · derivative.exercise_date: On February 27, 2015, Mr. Wawrin was granted 3,075 RSUs pursuant to the Escalade 2007 Plan. 1,025 RSUs vested and settled on February 27, 2017 and another 1,025 RSUs vested and settled on February 27, 2018, as previously reported. The remaining 1,025 RSUs vested on February 27, 2019, as reported on this Form 4. Vesting for all 3,075 RSUs also was subject to ESCA common stock achieving certain market performance tests established by Escalade's Compensation Committee, which tests have been satisfied.

F4 · derivative.expiration_date: On February 27, 2015, Mr. Wawrin was granted 3,075 RSUs pursuant to the Escalade 2007 Plan. 1,025 RSUs vested and settled on February 27, 2017 and another 1,025 RSUs vested and settled on February 27, 2018, as previously reported. The remaining 1,025 RSUs vested on February 27, 2019, as reported on this Form 4. Vesting for all 3,075 RSUs also was subject to ESCA common stock achieving certain market performance tests established by Escalade's Compensation Committee, which tests have been satisfied.