0001104659-20-078314.txt : 20200630 0001104659-20-078314.hdr.sgml : 20200630 20200629215056 ACCESSION NUMBER: 0001104659-20-078314 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200623 FILED AS OF DATE: 20200629 DATE AS OF CHANGE: 20200629 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GRIFFIN ROBERT E CENTRAL INDEX KEY: 0000901806 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-06966 FILM NUMBER: 201000155 MAIL ADDRESS: STREET 1: 817 MAXWELL AVENUE CITY: EVANSVILLE STATE: IN ZIP: 47717 ISSUER: 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: 1228 BUSINESS ADDRESS: STREET 1: 817 MAXWELL AVE. CITY: EVANSVILLE STATE: IN ZIP: 47711 BUSINESS PHONE: 812-467-4449 MAIL ADDRESS: STREET 1: 817 MAXWELL AVE. CITY: EVANSVILLE STATE: IN ZIP: 47711 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 4/A 1 tm2023762d1_4a.xml OWNERSHIP DOCUMENT X0306 4/A 2020-06-23 2020-06-25 0 0000033488 ESCALADE INC ESCA 0000901806 GRIFFIN ROBERT E 817 MAXWELL AVENUE EVANSVILLE IN 47717 0 0 1 0 Common Stock 2020-06-23 4 P 0 4 12.25 A 1313014 I Family Limited Partnership Common Stock 2020-06-24 4 P 0 13722 12.801 A 1326736 I Family Limited Partnership Common Stock 300000 I Spouse's Trust Common Stock 644672.629 D 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. 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. 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. Patrick Griffin, his son, which shares are also included by Mr. Patrick Griffin on his Section 16 reports. Mr. Griffin disclaims beneficial ownership in shares held by his spouse's trust, except to the extent of his pecuniary interest therein. The original filing of the Form 4 to which this Second Amendment relates was based on incomplete information. The First Amendment (1) updated the number of shares purchased on June 24, 2020, the weighted average price and the range in which shares were purchased, and (2) included the purchase of four shares on June 23, 2020 that was inadvertently omitted in the original filing. This Second Amendment reflects the revised calculation of the weighted average price and corrects the upper end of the range. /s/ROBERT E. GRIFFIN 2020-06-29