-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Dewr0JMm2xfX5tjgrY3ELzpluSZVPnmVUW6wr0+eaAqSlr2GhXRweM9w333N/M6j WC3a+35J5CJMTguHkkGhzg== 0000950152-01-001737.txt : 20010329 0000950152-01-001737.hdr.sgml : 20010329 ACCESSION NUMBER: 0000950152-01-001737 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010328 GROUP MEMBERS: CHARMENZ GUAGENTI GROUP MEMBERS: GUAGENTI ANDREW SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ESCALADE INC CENTRAL INDEX KEY: 0000033488 STANDARD INDUSTRIAL CLASSIFICATION: [3949] IRS NUMBER: 132739290 STATE OF INCORPORATION: IN FISCAL YEAR END: 1226 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-10280 FILM NUMBER: 1582075 BUSINESS ADDRESS: STREET 1: 817 MAXWELL AVE STREET 2: P O BOX 899 CITY: EVANSVILLE STATE: IN ZIP: 47717 BUSINESS PHONE: 8124671200 MAIL ADDRESS: STREET 1: PO BOX 889 CITY: EVANSVILLE STATE: IN ZIP: 47706 FORMER COMPANY: FORMER CONFORMED NAME: MARTIN YALE BUSINESS MACHINES CORP DATE OF NAME CHANGE: 19820310 FORMER COMPANY: FORMER CONFORMED NAME: MARTIN YALE INDUSTRIES INC DATE OF NAME CHANGE: 19720306 FORMER COMPANY: FORMER CONFORMED NAME: WILLIAMS MANUFACTURING CO DATE OF NAME CHANGE: 19710504 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GUAGENTI ANDREW CENTRAL INDEX KEY: 0000903464 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 216 WATER ST CITY: NEWBURGH STATE: IN ZIP: 47620 BUSINESS PHONE: 8124746256 MAIL ADDRESS: STREET 1: 216 WATER ST CITY: NEWBURGH STATE: IN ZIP: 47620 SC 13G/A 1 l87263asc13ga.txt ESCALADE, INCORPORATED SC 13G/A 1 Group Member Tag: Charmenz Guagenti UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* ESCALADE, INCORPORATED (Name of Issuer) Common Stock, No Par Value (Title of Class of Securities) 296056-10-4 (CUSIP Number) December 31, 2000 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ X ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) Page 1 of 6 Pages 2 CUSIP No. 296056-10-4 13G Page 2 of 6 Pages 1. NAME OF REPORTING PERSON S.S. or I.R.S. Identification No. of Above Person Andrew Guagenti (###-##-####) and Charmenz Guagenti (###-##-####) filing together and as a group, but each disclaiming any rights in the holdings of the other. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) * (b) ____ 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF 5. SOLE VOTING POWER SHARES 208,002 BENEFICIALLY 6. SHARED VOTING POWER OWNED BY -0- EACH 7. SOLE DISPOSITIVE POWER REPORTING 208,002 PERSON 8. SHARED DISPOSITIVE POWER WITH -0- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Andrew Guagenti owns 93,355 shares in his name, in his directed IRA, or as a Trustee. Charmenz Guagenti owns 114,647 shares in her name, in her directed IRA, or as Trustee. 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* None. 3 CUSIP No. 296056-10-4 13G Page 3 of 6 Pages 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Andrew Guagenti, individually and as Trustee, owns 4.31% of the common stock of the Issuer and Charmenz Guagenti, individually and as Trustee, owns 5.29% of the common stock of the Issuer. Together they own 9.60% of the common stock of the Issuer. 12. TYPE OF REPORTING PERSON* IN 4 CUSIP No. 296056-10-4 13G Page 4 of 6 Pages ITEM 1 (a) NAME OF ISSUER: Escalade, Incorporated (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 817 Maxwell Avenue Evansville, IN 47717 ITEM 2 (a) NAME OF PERSON FILING: Andrew Guagenti and Charmenz Guagenti (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 216 Water Street Newburgh, IN 47620 (c) CITIZENSHIP: All reporting persons on this Schedule 13G are American citizens. (d) TITLE OF CLASS OF SECURITIES: Common Stock, no par value (e) CUSIP NUMBER: 296056-10-4 ITEM 3 This statement is not filed pursuant to Rules 13d-1(b) or 13d-2(b). This statement is filed pursuant to Rule 13d-1(c)[x]. ITEM 4 OWNERSHIP (a) AMOUNT BENEFICIALLY OWNED: Andrew Guagenti owns 93,355 shares in his name, in his directed IRA, or as Trustee. Charmenz Guagenti owns 114,647 shares in her name, in her directed IRA, or as Trustee. 5 CUSIP No. 296056-10-4 13G Page 5 of 6 Pages (b) PERCENT OF CLASS: Andrew Guagenti, individually and as Trustee, owns 4.31% of the common stock of the Issuer and Charmenz Guagenti, individually and as Trustee, owns 5.29% of the common stock of the Issuer. Together they own 9.60% of the common stock of the Issuer. (c) (i) SOLE VOTING POWER: 208,002 (ii) SHARED VOTING POWER: -0- (iii) SOLE DISPOSITIVE POWER: 208,002 (iv) SHARED DISPOSITIVE POWER: -0- ITEM 5 OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable ITEM 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not Applicable ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: Not Applicable ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Not Applicable 6 CUSIP No. 296056-10-4 13G Page 6 of 6 Pages ITEM 9 NOTICE OF DISSOLUTION OF GROUP Not Applicable ITEM 10 CERTIFICATION By signing below, the undersigned certify that, to the best of their knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. SIGNATURE After reasonable inquiry and to the best of their knowledge and belief, the undersigned hereby certify that the information set forth in this statement is true, complete and correct. Date: March 16, 2001 /s/ Andrew Guagenti -------------------------- ANDREW GUAGENTI /s/ Charmenz Guagenti -------------------------- CHARMENZ GUAGENTI -----END PRIVACY-ENHANCED MESSAGE-----