Statement of Changes in Beneficial Ownership (4)
12 August 2017 - 6:07AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
WHITE RICHARD
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2. Issuer Name
and
Ticker or Trading Symbol
ESCALADE INC
[
esca
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ESCALADE INCORPORATED, 817 MAXWELL AVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
8/8/2017
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(Street)
EVANSVILLE, IN 47711
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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8/9/2017
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G
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V
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2260
(1)
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D
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$12.05
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147602
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D
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Common Stock
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2260
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I
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By Spouse
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Common Stock
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8/9/2017
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G
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V
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2100
(2)
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D
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$12.05
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145502
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D
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Common Stock
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8/10/2017
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G
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V
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2260
(3)
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D
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$12.05
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0
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I
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By spouse
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Common Stock
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8/11/2017
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J
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V
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2180
(4)
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A
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$0
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2180
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I
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As trustee for Elizabth White 2015 Trust
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Common Stock
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8/11/2017
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J
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V
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2180
(5)
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A
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$0
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2180
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I
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As trustee for Alexandra White Grantor Trust 2015
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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As part of Mr. White's personal planning, he and his wife gifted a total of 2,180 shares of common stock to each of their adult daughters who in turn each deposited the shares into trusts of which Mr. White is the trustee. As the first step in such planning, Mr. White transferred 2,260 Escalade shares to his wife. Upon completion of all the transactions reported herein Mr. White's total beneficial ownership of 149,862 shares is unchanged but 4,360 shares are now indirectly owned and 145,502 shares are directly owned.
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(2)
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Mr. White gifted 1,050 Escalade shares to each of his adult daughters.
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(3)
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Mr. White's spouse gifted 1,130 Escalade shares to each of their adult daughters.
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(4)
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Mr. White's adult daughter, Elizabeth White, transferred the gifted 2,180 Escalade shares to the Elizabeth White 2015 Trust. Mr. White is the trustee of the trust.
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(5)
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Mr. White's adult daughter, Alexandra White, transferred the gifted 2,180 Escalade shares to the Alexandra White Grantor Trust 2015. Mr. White is the trustee of the trust.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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WHITE RICHARD
C/O ESCALADE INCORPORATED
817 MAXWELL AVE
EVANSVILLE, IN 47711
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X
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Signatures
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/s/ Richard White
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8/11/2017
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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