Griffin Patrick J

SEC source: 0001179110-21-003080 · edgar.xml · derivative · entry 6

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

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: 0001179110-21-003080 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 1,000 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 3,000 RSUs, one-third (1,000) 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: 0001179110-21-003080 · 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: 523,695.229

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 567 shares

Expires 2021-03-02

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522,695.229

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 522,128.229

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567

Underlying: Common Stock · 1,133 shares

Expires 2021-03-02

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 520,750.229

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,134

Underlying: Common Stock · 283 shares

Expires 2022-03-08

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

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

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,617.229

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

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,326,736

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

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

F4 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,318,793

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

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

F4 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,326,736

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

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

F4 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,014

F4 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By adult son

Disclosed balance after: 2,000

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,334.229

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By adult son

Disclosed balance after: 2,000

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,334.229

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,014

F4 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By adult son

Disclosed balance after: 2,000

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,334.229

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

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

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,313,010

F1 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

SEC source: 0001179110-20-006052 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,306,410

F3 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

SEC source: 0001179110-20-006052 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,301,853

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on May 13, 2020 at prices ranging from $8.48 to $8.50 per share.

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

F3 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

SEC source: 0001179110-20-005841 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,293,106

F2 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on May 12, 2020 at prices ranging from $8.465 to $8.50 per share.

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

F4 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

SEC source: 0001179110-20-005841 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Family Limited Partnership

Disclosed balance after: 1,281,088

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple open market transactions on May 11, 2020 at prices ranging from $8.25 to $8.50 per share.

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

F4 · ownership.nature: Mr. Griffin disclaims beneficial ownership in shares held by the family limited partnership except to the extent of his pecuniary interest therein. All shares held by the family limited partnership are also deemed to be beneficially owned by Mr. Robert E. Griffin, his father, which shares are also included by Mr. Robert E. Griffin on his Section 16 reports.

SEC source: 0001179110-20-003370 · 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: 1,417

Underlying: Common Stock · 283 shares

Expires 2022-03-08

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

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

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

F3 · derivative.exercise_date: On March 8, 2018, the reporting person was granted 1,700 RSUs, one sixth (283) of which vested and settled on March 8,2020 as 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: 0001179110-20-003370 · 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: 521,334.229

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: 0001179110-20-003190 · 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: 3,000

Underlying: Common Stock · 3,000 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 3,000 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: 0001179110-20-002513 · 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: 0001179110-19-011569 · 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: 0001179110-19-003629 · 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: 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: 0001660412-19-000006 · primary_doc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567

Underlying: Common Stock · 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"). All RSUs settle in shares of ESCA common stock.

F3 · derivative.exercise_date: On February 26, 2016, Mr. Griffin was granted 1,700 RSUs pursuant to the Escalade 2007 Plan. 566 RSUs vested and settled on June 26, 2018, as previously reported. On February 26, 2019, 567 RSUs vested and settled, as reported on this Form 4. The remaining 567 RSUs will vest and settle on February 26, 2020 provided that Mr. Griffin remains employed by Escalade. Vesting for all 1,700 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. Griffin was granted 1,700 RSUs pursuant to the Escalade 2007 Plan. 566 RSUs vested and settled on June 26, 2018, as previously reported. On February 26, 2019, 567 RSUs vested and settled, as reported on this Form 4. The remaining 567 RSUs will vest and settle on February 26, 2020 provided that Mr. Griffin remains employed by Escalade. Vesting for all 1,700 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 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,567.229

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: 0001660412-19-000002 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,000.229

F1 · shares: On December 28, 2018, Mr. Griffin received 2,680 shares of Escalade common stock as a gift from his father, Mr. Robert Griffin.

SEC source: 0001660412-18-000033 · primary_doc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,134

Underlying: Common Stock · 566 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.

F3 · derivative.exercise_price: Each RSU represents a right to receive one share of ESCA common stock granted pursuant to the 2007 Escalade, Incorporated Incentive Plan("Escalade 2007 Plan").

F4 · derivative.exercise_date: On February 26, 2016, the reporting person was granted 1,700 RSUs 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.

F4 · derivative.expiration_date: On February 26, 2016, the reporting person was granted 1,700 RSUs 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: 0001660412-18-000033 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514,320.229

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: 0001660412-18-000019 · primary_doc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 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 1,700 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 the Company'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: 0001660412-18-000007 · 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: 317

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").

F4 · derivative.exercise_date: On February 27, 2015, the reporting person was granted 950 RSUs pursuant to the Escalade 2007 Plan. 316 RSUs vested and settled on February 27, 2017 as previously reported. 317 RSUs vested and settled on February 27, 2018 as reported in this Form 4. The remaining 317 RSUs will vest and settle on February 27, 2019 provided that the reporting person remains employed by Escalade. The vesting of all 950 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.

F4 · derivative.expiration_date: On February 27, 2015, the reporting person was granted 950 RSUs pursuant to the Escalade 2007 Plan. 316 RSUs vested and settled on February 27, 2017 as previously reported. 317 RSUs vested and settled on February 27, 2018 as reported in this Form 4. The remaining 317 RSUs will vest and settle on February 27, 2019 provided that the reporting person remains employed by Escalade. The vesting of all 950 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: 0001660412-18-000007 · primary_doc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 416 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 27, 2014, the reporting person was granted 1,250 RSUs pursuant to the Escalade 2007 Plan. 417 RSUs vested and settled on February 27, 2016 and another 417 RSUs vested and settled on February 27, 2017, all of which has been previously reported. The remaining 416 RSUs vested and settled on February 27, 2018 as reported in this Form 4. Vesting for all 1,250 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.

F3 · derivative.expiration_date: On February 27, 2014, the reporting person was granted 1,250 RSUs pursuant to the Escalade 2007 Plan. 417 RSUs vested and settled on February 27, 2016 and another 417 RSUs vested and settled on February 27, 2017, all of which has been previously reported. The remaining 416 RSUs vested and settled on February 27, 2018 as reported in this Form 4. Vesting for all 1,250 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: 0001660412-18-000007 · 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: 513,754.229

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: 0001660412-18-000007 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,437.229

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: 0001660412-17-000036 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,021.229

F1 · shares: On December 13, 2017, Mr. Robert E. Griffin gifted 2,088 shares to each of his adult children, including Mr. Patrick Griffin.

SEC source: 0001660412-17-000019 · primary_doc.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 · 1,000 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.

F3 · derivative.exercise_date: Stock options initially granted on March 1, 2013 that vested 25% annually on each March 1 with the final vesting on March 1, 2017.

SEC source: 0001660412-17-000019 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,933.229

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

SEC source: 0001660412-17-000018 · primary_doc.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 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 1,700 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: 0001660412-17-000009 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 509,933.229

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.

F2 · kind: In the initial Form 4 filed on February 27, 2017, the code P was inadvertently entered. The code should have been M as shown herein. All other items in the Form 4 remain unchanged.

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