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Escalade (ESCA) director adds shares through RSU grants and recent vesting

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Escalade Inc. director Katherine F. Franklin reported equity compensation activity involving Restricted Stock Units (RSUs) and common stock. On May 6, 2026, she was granted 5,000 RSUs under the Escalade 2017 Plan; half vest on May 6, 2027 and half on May 6, 2028 if she remains a director.

Previously granted RSUs vested and converted one-for-one into common stock, adding 2,150 shares on May 8, 2026 and 2,250 shares on May 7, 2026. Following these conversions, she holds 34,979.783 Escalade common shares directly. The filing also notes 309,213 and 223,842 shares held by revocable trusts owned by her father and mother; she disclaims beneficial ownership of those trust-held shares except for any pecuniary interest.

Positive

  • None.

Negative

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Insights

Routine RSU grants and vesting increase director’s equity exposure.

The transactions show Katherine F. Franklin receiving 5,000 new RSUs and converting earlier RSU awards into 4,400 common shares. Code M events reflect derivative exercises/conversions, not open-market buying, and code A reflects a standard equity grant.

After these events she directly holds 34,979.783 shares, with additional large positions in revocable trusts where she disclaims beneficial ownership except for any pecuniary interest. Overall the activity appears to be routine director compensation and scheduled vesting rather than discretionary market purchases, so the informational signal for investors is limited.

Insider Franklin Katherine F.
Role null
Type Security Shares Price Value
Exercise Restricted Stock Units 2,150 $0.00 --
Exercise Common Stock 2,150 $0.00 --
Exercise Restricted Stock Units 2,250 $0.00 --
Exercise Common Stock 2,250 $0.00 --
Grant/Award Restricted Stock Units 5,000 $0.00 --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Restricted Stock Units — 0 shares (Direct, null); Common Stock — 34,979.783 shares (Direct, null); Common Stock — 223,842 shares (Indirect, By Trust)
Footnotes (1)
  1. Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis. Ms. Franklin disclaims beneficial ownership in shares held by a revocable trust owned by her father, except to the extent of her pecuniary interest therein. Ms. Franklin disclaims beneficial ownership in shares held by a revocable trust owned by her mother, except to the extent of her pecuniary interest therein. Each Restricted Stock Unit (RSU) represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (the "Plan"). Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt. On May 6, 2026, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which one half will vest on May 6, 2027 and one half on May 6, 2028, provided that the reporting person remains a director of Escalade. On May 7, 2025, the reporting person was granted 4,500 RSUs pursuant to the Escalade 2017 Plan, of which one half vested on May 7, 2026 and one half will vest on May 7, 2027, provided that the reporting person remains a director of Escalade. On May 8, 2024, the reporting person was granted 4,300 RSUs pursuant to the Escalade 2017 Plan, of which 2,150 RSUs vested and settled on May 8, 2025 and the remaining 2,150 RSUs vested and settled on May 8, 2026.
New RSU grant 5,000 RSUs Granted on May 6, 2026 under Escalade 2017 Plan
RSUs converted May 8, 2026 2,150 shares RSUs from May 8, 2024 grant vesting and settling
RSUs converted May 7, 2026 2,250 shares RSUs from May 7, 2025 grant vesting and settling
Total RSUs exercised 4,400 shares ExerciseCount 2, ExerciseShares 4,400 in transaction summary
Direct common stock holding 34,979.783 shares Total shares following May 8, 2026 transaction
Father’s revocable trust holding 309,213 shares Common stock held indirectly by revocable trust; beneficial ownership disclaimed
Mother’s revocable trust holding 223,842 shares Common stock held indirectly by revocable trust; beneficial ownership disclaimed
Restricted Stock Units financial
"Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis."
Restricted stock units are a type of company reward where employees are promised shares of stock, but they only fully own these shares after meeting certain conditions, like staying with the company for a set time. They matter because they can become valuable assets and are often used to motivate employees to help the company succeed.
pecuniary interest financial
"except to the extent of her pecuniary interest therein."
revocable trust financial
"shares held by a revocable trust owned by her father"
A revocable trust is a legal arrangement where the person who creates it keeps control and can change or cancel the trust at any time, while naming who will manage and receive the assets later. Think of it like a flexible folder for your investments and property that can be relabeled or reworked as circumstances change; it matters to investors because it determines how ownership is recorded, how easily assets transfer on incapacity or death, and whether holdings bypass public probate proceedings.
2017 Incentive Plan financial
"pursuant to the Escalade, Incorporated 2017 Incentive Plan (the "Plan")."
vested and settled financial
"2,150 RSUs vested and settled on May 8, 2025"
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Franklin Katherine F.
(Last)(First)(Middle)
817 MAXWELL AVENUE
(Street)
EVANSVILLE INDIANA 47711
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ESCALADE INC [ ESCA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
05/06/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock05/07/2026M2,250A(1)32,829.783D
Common Stock05/08/2026M2,150A(1)34,979.783D
Common Stock223,842IBy Trust(2)
Common Stock309,213IBy Trust(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Units(4)05/06/2026A5,000 (5)05/06/2028Common Stock5,000$05,000D
Restricted Stock Units(1)(4)05/07/2026M2,250 (6)05/07/2027Common Stock2,250$02,250D
Restricted Stock Units(1)(4)05/08/2026M2,150 (7)05/08/2026Common Stock2,150$00D
Explanation of Responses:
1. Restricted Stock Units (RSUs) converted into common stock on a one-for-one basis.
2. Ms. Franklin disclaims beneficial ownership in shares held by a revocable trust owned by her father, except to the extent of her pecuniary interest therein.
3. Ms. Franklin disclaims beneficial ownership in shares held by a revocable trust owned by her mother, except to the extent of her pecuniary interest therein.
4. Each Restricted Stock Unit (RSU) represents a right to receive one share of Escalade common stock pursuant to the Escalade, Incorporated 2017 Incentive Plan (the "Plan"). Shares will be delivered to the reporting person upon vesting of the applicable RSUs, unless the reporting person defers receipt.
5. On May 6, 2026, the reporting person was granted 5,000 RSUs pursuant to the Escalade 2017 Plan, of which one half will vest on May 6, 2027 and one half on May 6, 2028, provided that the reporting person remains a director of Escalade.
6. On May 7, 2025, the reporting person was granted 4,500 RSUs pursuant to the Escalade 2017 Plan, of which one half vested on May 7, 2026 and one half will vest on May 7, 2027, provided that the reporting person remains a director of Escalade.
7. On May 8, 2024, the reporting person was granted 4,300 RSUs pursuant to the Escalade 2017 Plan, of which 2,150 RSUs vested and settled on May 8, 2025 and the remaining 2,150 RSUs vested and settled on May 8, 2026.
/s/ KATHERINE F. FRANKLIN05/08/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What equity transactions did Katherine F. Franklin report for Escalade (ESCA)?

She reported RSU vesting and a new RSU grant. Earlier awards converted into 4,400 common shares, and she received a 5,000 RSU grant under Escalade’s 2017 Incentive Plan, all as part of director compensation rather than open-market trades.

How many Escalade (ESCA) shares does Katherine F. Franklin hold directly after these transactions?

After the reported RSU conversions, she directly holds 34,979.783 shares of Escalade common stock. These holdings result from equity compensation vesting, not market purchases, and sit alongside separate trust-held positions disclosed with beneficial ownership disclaimers.

What is the size and vesting schedule of Katherine F. Franklin’s new RSU grant at Escalade (ESCA)?

She received a 5,000 RSU grant on May 6, 2026 under the 2017 Plan. 2,500 RSUs vest on May 6, 2027 and the remaining 2,500 RSUs vest on May 6, 2028, contingent on her continuing service as a director.

Were Katherine F. Franklin’s Escalade (ESCA) Form 4 transactions open-market buys or sales?

They were derivative exercises and an RSU grant, not open-market trades. Code M entries reflect RSUs converting into common stock, and the code A entry reflects a grant of RSUs as compensation, with no reported open-market buying or selling.