|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Unit | (1) | 04/25/2008 | 04/25/2008 | A | 1,250 | (2) | (2) | Common STock | 1,250 | $ 0 | 4,788 | D | |||
Restricted Stock Unit | (1) | 04/25/2008 | 04/25/2008 | A | 872 | (3) | (3) | Common Stock | 872 | $ 0 | 5,660 (4) | D | |||
Stock Option | (5) | (5) | (5) | Common Stock | 3,198 | 3,198 (5) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Baalmann Richard Fenton JR 11634 SERAMA DRIVE ST LOUIS, MO 63131 |
X |
/s/ Richard F. Baalmann, Jr. | 04/29/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Each restricted stock unit represents a contingent right to receive one share of ESCA common stock granted pursuant to the Escalade, Incorporated 2007 Incentive Plan. |
(2) | Each restricted stock unit will vest in one annual installment on April 27, 2009. Vested shares will be delivered to the reporting person at such time unless the reporting person elects to defer receipt. |
(3) | Each restricted stock unit will vest in one annual installment on December 31, 2013. Vested shares will be delivered to the reporting person at such time unless the reporting person elects to defer receipt. |
(4) | Composed of 1,250 restricted stock units that will vest on April 30, 2008; 1,250 restricted stock units that will vest on April 27, 2009; 2,288 restricted stock units that will vest on December 31, 2012; and 872 restricted stock units that will vest on December 31, 2013. |
(5) | Outstanding stock options are composed of 2,000 options that vested on April 25, 2007 with an exercise price of $11.26 per share and an expiration date of April 24, 2011; and 1,198 options that will vest on April 30, 2008 with an exercise price of $9.35 per share and an expiration date of April 30, 2012. |