Wawrin Stephen

SEC source: 0001415889-22-002574 · form4-03042022_020327.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,667

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: 0001415889-22-002587 · form4a-03042022_030330.xml · derivative · entry 3

Wawrin Stephen · CIK 0001626624 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2025-03-02

F2 · derivative.exercise_price: Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan).

F3 · derivative.exercise_date: On March 2, 2022, the reporting person was granted 7,500 RSUs pursuant to the Escalade 2017 Plan, of which one third will vest on March 2, 2023, one third on March 2, 2024 and one third on March 2, 2025, provided that the reporting person remains an officer of Escalade.

SEC source: 0001415889-22-002574 · form4-03042022_020327.xml · derivative · entry 3

Wawrin Stephen · CIK 0001626624 · CHIEF FINANCIAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2025-03-02

F2 · derivative.exercise_price: Each RSU represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (Escalade 2017 Plan).

F3 · derivative.exercise_date: On March 2, 2022, the reporting person was granted 7,500 RSUs pursuant to the Escalade 2017 Plan, of which one third will vest on March 2, 2023, one third on March 2, 2024 and one third on March 2, 2025, provided that the reporting person remains an officer of Escalade.

SEC source: 0001179110-21-007027 · edgar.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001179110-21-003079 · edgar.xml · derivative · entry 5

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,368

Underlying: Common Stock · 1,366 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.

F5 · derivative.exercise_date: On March 8, 2018, the reporting person was granted 4,100 RSUs, subject to vesting in one-third increments on each of March 8, 2020, March 8, 2021, and March 8, 2022 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 8, 2021 and the market performance conditions were satisfied as of August 10, 2020. One-third (1,366) of the RSUs previously vested and settled as reported in a Form 4 filed on March 9, 2020 and August 12, 2020. This Form 4 reports the vesting and settlement of an additional 1,366 RSUs on March 8, 2021. The remaining RSUs will vest on March 8, 2022, provided that the reporting person is still employed by Escalade on the applicable vesting date.

SEC source: 0001179110-21-003079 · edgar.xml · nonDerivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,348

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: 0001179110-21-003079 · edgar.xml · derivative · entry 4

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,095

Underlying: Common Stock · 3,095 shares

Expires 2024-03-04

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.

F4 · derivative.exercise_date: On March 4, 2021, the reporting person was granted 3,095 RSUs. The RSUs will vest one-third on each of March 4, 2022, March 4, 2023, and March 4, 2024, provided that the reporting person is still employed by Escalade on the applicable vesting date.

SEC source: 0001179110-21-003079 · edgar.xml · derivative · entry 3

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,334

Underlying: Common Stock · 3,666 shares

Expires 2023-03-04

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 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 4, 2020, the reporting person was granted 11,000 RSUs, one-third (3,666) of which vested and settled on March 4, 2021 as reported in this Form 4. The remaining RSUs will vest one-third on each of March 4, 2022 and March 4, 2023, provided that the reporting person is still employed by Escalade on the applicable vesting date.

SEC source: 0001179110-21-003079 · edgar.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,982

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: 0001179110-20-008999 · 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: 0001179110-20-008956 · 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: 0001179110-20-003369 · edgar.xml · derivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,417

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 reported in this Form 4. The remaining RSUs will vest one third on each of March 8, 2021 and March 8, 2022, provided that the reporting person (1) is still employed by Escalade on the applicable vesting date, and (2) Escalade has achieved certain performance conditions established by the Compensation Committee of the Escalade Board of Directors. If the performance tests have not been met as of the applicable vesting date, then only one half of the RSUs eligible to vest on such date will vest. The remaining one half will vest only if the performance tests are met prior to March 8, 2022, the expiration date of the RSUs. The performance tests were not met by March 8, 2020. Accordingly, only one half of the RSUs that could have vested on that date vested. The remaining one half will vest only if the performance tests are met prior to the RSU expiration date.

SEC source: 0001179110-20-003369 · edgar.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,533

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: 0001179110-20-003184 · 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: 0001179110-20-002515 · 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: 0001179110-20-002511 · 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: 0001179110-19-003627 · 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: 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.

SEC source: 0001660412-19-000005 · primary_doc.xml · nonDerivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,483

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 3

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,367

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"). All RSUs settle in shares of ESCA common stock.

F3 · derivative.exercise_date: On February 26, 2016, Mr. Wawrin was granted 4,100 RSUs pursuant to the Escalade 2007 Plan. 1,366 RSUs vested and settled on June 26, 2018, as previously reported. On February 26, 2019, 1,367 RSUs vested and settled, as reported on this Form 4. The remaining 1,367 RSUs will best and settle on February 26, 2020 provided that Mr. Wawrin remains employed by Escalade. Vesting for all 4,100 RSUs also was subject to ESCA common stock achieving certain market performance tests established by Escalade's Compensation Committee, which tests have been satisfied.

F3 · derivative.expiration_date: On February 26, 2016, Mr. Wawrin was granted 4,100 RSUs pursuant to the Escalade 2007 Plan. 1,366 RSUs vested and settled on June 26, 2018, as previously reported. On February 26, 2019, 1,367 RSUs vested and settled, as reported on this Form 4. The remaining 1,367 RSUs will best and settle on February 26, 2020 provided that Mr. Wawrin remains employed by Escalade. Vesting for all 4,100 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: 0001660412-19-000005 · primary_doc.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,458

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: 0001660412-18-000032 · primary_doc.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 · 1,366 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 2017 Escalade, Incorporated Incentive Plan ("Escalade 2007 Plan")

F3 · derivative.exercise_date: On February 26, 2016, the reporting person was granted 4,100 RUSs pursuant to the Escalade 2007 Plan, which RSUs were to vest on each of February 26, 2018, February 26, 2019, and February 26, 2020, provided that the reporting person is still employed by the Company as of such date and ESCA common stock has achieved certain performance tests which were established by the Company's Compensation Committee of its Board of Directors. The market performance tests were satisfied as of June 26, 2018, thereby resulting in the vesting of the first one third of the RSUs as of that date. The vested RSUs were settled in shares of ESCA common stock.

F3 · derivative.expiration_date: On February 26, 2016, the reporting person was granted 4,100 RUSs pursuant to the Escalade 2007 Plan, which RSUs were to vest on each of February 26, 2018, February 26, 2019, and February 26, 2020, provided that the reporting person is still employed by the Company as of such date and ESCA common stock has achieved certain performance tests which were established by the Company's Compensation Committee of its Board of Directors. The market performance tests were satisfied as of June 26, 2018, thereby resulting in the vesting of the first one third of the RSUs as of that date. The vested RSUs were settled in shares of ESCA common stock.

SEC source: 0001660412-18-000032 · primary_doc.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,091

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: 0001660412-18-000020 · primary_doc.xml · derivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,100

Underlying: Common Stock · 4,100 shares

Expires 2022-03-08

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. Shares will be delivered to the reporting person upon vesting of the applicable RSUs unless the reporting person has deferred receipt.

F2 · derivative.exercise_date: On March 8, 2018, the reporting person was granted 4,100 RSUs which will vest one-third on each of March 8, 2020, March 8, 2021, and March 8, 2022, provided that the reporting person is still employed by ESCA as of such vesting date and ESCA's common stock has achieved certain market performance tests established by the Compensation Committee of the ESCA Board of Directors. If the performance tests have not been met as of an applicable vesting date, then one-half of the RSUs eligible to vest on that date will vest and the remaining one-half will vest if, and only if, the performance tests are met prior to the end of the four year vesting period.

SEC source: 0001660412-18-000008 · primary_doc.xml · derivative · entry 6

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2018-03-01

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.

F6 · derivative.exercise_date: Stock options initially granted on March 1, 2013 that vested 25% annually on each March 1 with the final increment vesting on March 1, 2017.

SEC source: 0001660412-18-000008 · primary_doc.xml · derivative · entry 5

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,025

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 pursuant to the Escalade, Incorporated 2007 Incentive Plan ("Escalade 2007 Plan").

F5 · derivative.exercise_date: On February 27, 2015, the reporting person was granted 3,075 RSUs pursuant to the Escalade 2007 Plan. 1,025 RSUs vested and settled on February 27, 2017 as previously reported. 1,025 RSUs vested and settled on February 27, 2018 as reported in this Form 4. The remaining 1,025 RSUs will vest and settle on February 27, 2019 provided that the reporting person remains employed by Escalade. The vesting of all 3,075 RSUs was also 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.

F5 · derivative.expiration_date: On February 27, 2015, the reporting person was granted 3,075 RSUs pursuant to the Escalade 2007 Plan. 1,025 RSUs vested and settled on February 27, 2017 as previously reported. 1,025 RSUs vested and settled on February 27, 2018 as reported in this Form 4. The remaining 1,025 RSUs will vest and settle on February 27, 2019 provided that the reporting person remains employed by Escalade. The vesting of all 3,075 RSUs was also 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: 0001660412-18-000008 · 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 · 666 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 pursuant to the Escalade, Incorporated 2007 Incentive Plan ("Escalade 2007 Plan").

F4 · derivative.exercise_date: On February 27, 2014, the reporting person was granted 2,000 RSUs pursuant to the Escalade 2007 Plan. 667 RSUs vested and settled on February 27, 2016 and another 667 RSUs vested and settled on February 27, 2017, all of which has been previously reported. The remaining 666 RSUs vested and settled on February 27, 2018 as reported in this Form 4. Vesting for all 2,000 RSUs were 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, 2014, the reporting person was granted 2,000 RSUs pursuant to the Escalade 2007 Plan. 667 RSUs vested and settled on February 27, 2016 and another 667 RSUs vested and settled on February 27, 2017, all of which has been previously reported. The remaining 666 RSUs vested and settled on February 27, 2018 as reported in this Form 4. Vesting for all 2,000 RSUs were 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: 0001660412-18-000008 · primary_doc.xml · nonDerivative · entry 3

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,725

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.

F3 · shares: Shares issued pursuant to the exercise of stock options granted under the Escalade 2007 Plan.

SEC source: 0001660412-18-000008 · primary_doc.xml · nonDerivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,725

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: 0001660412-18-000008 · primary_doc.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,700

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: 0001660412-17-000032 · primary_doc.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,034

SEC source: 0001660412-17-000028 · primary_doc.xml · nonDerivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,359

SEC source: 0001660412-17-000028 · primary_doc.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,958

SEC source: 0001660412-17-000017 · primary_doc.xml · derivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,100

Underlying: Common Stock · 4,100 shares

Expires 2021-03-02

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 2007 Incentive Plan. Shares will be delivered to the reporting person upon vesting of the applicable RSUs unless the reporting person has deferred receipt.

F2 · derivative.exercise_date: On March 2, 2017, the reporting person was granted 4,100 RSUs which will vest one third on each of March 2, 2019, March 2, 2020, and March 2, 2021 provided that the reporting person is still employed by the Company as of such vesting date and the Company's common stock has achieved certain market performance tests. The market performance tests have been established by the Compensation Committee of the Company's Board of Directors.

SEC source: 0001660412-17-000010 · primary_doc.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 · 3,500 shares

Expires 2017-03-02

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_date: On March 2, 2012, the reporting person was granted 3,500 stock options under the Escalade, Incorporated 2007 Incentive Plan. The stock options vested one half on March 2, 2015 and one half on March 2, 2016.

SEC source: 0001660412-17-000010 · primary_doc.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,359

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.

F2 · shares: Shares issued pursuant to the exercise of stock options granted under the Escalade, Incorporated 2007 Incentive Plan.

SEC source: 0001660412-17-000008 · primary_doc.xml · derivative · entry 4

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,050

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 shares of 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. Vested shares will be delivered to the reporting person at such time unless the reporting person has deferred receipt.

F4 · derivative.exercise_date: On February 27, 2015, the reporting person was granted 3,075 RSUs which vested one third on February 27, 2017 and were settled in shares of common stock as being reported on this Form 4. The remaining 2,050 RSUs will vest one half on February 27, 2018 and one half on February 27, 2019 provided the reporting person remains employed by the Company as of such dates. The vesting of these RSUs were also subject to the Company's common stock achieving certain market performance tests established by the Compensation Committee of the Company's Board of Directors, which tests were satisfied.

F4 · derivative.expiration_date: On February 27, 2015, the reporting person was granted 3,075 RSUs which vested one third on February 27, 2017 and were settled in shares of common stock as being reported on this Form 4. The remaining 2,050 RSUs will vest one half on February 27, 2018 and one half on February 27, 2019 provided the reporting person remains employed by the Company as of such dates. The vesting of these RSUs were also subject to the Company's common stock achieving certain market performance tests established by the Compensation Committee of the Company's Board of Directors, which tests were satisfied.

SEC source: 0001660412-17-000008 · primary_doc.xml · derivative · entry 3

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666

Underlying: Common Stock · 667 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 shares of 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. Vested shares will be delivered to the reporting person at such time unless the reporting person has deferred receipt.

F3 · derivative.exercise_date: On February 27, 2014, the reporting person was granted 2,000 RSUs which vested one third on February 27, 2016 (as previously reported on Form 4)and one third on February 27, 2017 (as being reported on this Form 4). All RSUs were settled in shares of common stock. The remaining 666 RSUs will vest on February 27, 2018 provided the reporting person remains employed by the Company on such date. The vesting of these RSUs were also subject to the Company's common stock achieving certain market performance tests established by the Compensation Committee of the Company's Board of Directors, which tests were satisfied.

F3 · derivative.expiration_date: On February 27, 2014, the reporting person was granted 2,000 RSUs which vested one third on February 27, 2016 (as previously reported on Form 4)and one third on February 27, 2017 (as being reported on this Form 4). All RSUs were settled in shares of common stock. The remaining 666 RSUs will vest on February 27, 2018 provided the reporting person remains employed by the Company on such date. The vesting of these RSUs were also subject to the Company's common stock achieving certain market performance tests established by the Compensation Committee of the Company's Board of Directors, which tests were satisfied.

SEC source: 0001660412-17-000008 · primary_doc.xml · nonDerivative · entry 2

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,859

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 shares of common stock on a one-for-one basis.

SEC source: 0001660412-17-000008 · primary_doc.xml · nonDerivative · entry 1

Wawrin Stephen · CIK 0001626624 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,834

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 shares of common stock on a one-for-one basis.