-----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, NDet508nT5CN0lir8lj9GkBoUZdDNOJ+qEarLmDsmu5qrWzuucDttSyZ6KH9CyAk /3LJZsEeyRxvAnr+d1R7SQ== 0000950123-11-011487.txt : 20110210 0000950123-11-011487.hdr.sgml : 20110210 20110210110424 ACCESSION NUMBER: 0000950123-11-011487 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110210 DATE AS OF CHANGE: 20110210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Griffin Patrick J CENTRAL INDEX KEY: 0001463197 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 817 MAXWELL AVENUE CITY: EVANSVILLE STATE: IN ZIP: 47711 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-10280 FILM NUMBER: 11590234 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 SC 13G 1 l41819csc13g.htm SC 13G sc13g

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No.  )*

ESCALADE, INCORPORATED
(Name of Issuer)
Common Stock, No Par Value
(Title of Class of Securities)
296056-10-4
(CUSIP Number)
December 31, 2010
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     o Rule 13d-1(b)

     þ Rule 13d-1(c)

     o 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)

 
 


 

                       
CUSIP No.
 
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1.   NAME OF REPORTING PERSON
S.S. or I.R.S. Identification No. of Above Person

Patrick J. Griffin
     
     
2.   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)   o
  (b)   þ
     
3.   SEC USE ONLY
   
   
     
4.   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  United States of America
       
  5.   SOLE VOTING POWER
     
NUMBER OF   97,202
       
SHARES 6.   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,771,296
       
EACH 7.   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   97,202
       
WITH 8.   SHARED DISPOSITIVE POWER
     
    2,771,296
     
9.   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  2,868,498 See Item 4(a).
     
10.   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
   
  Not Aplicable     o
     
11.   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
   
  22.46%
     
12.   TYPE OF REPORTING PERSON*
   
  IN


 

                       
CUSIP No.
 
296056-10-4  
13G Page  
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 Pages 
ITEM 1
(a) NAME OF ISSUER: Escalade, Incorporated
(b) ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:
817 Maxwell Avenue
Evansville, IN 47711
ITEM 2
(a) NAME OF PERSON FILING: Patrick J. Griffin
(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE:
817 Maxwell Avenue
Evansville, IN 47711
(c) CITIZENSHIP: U.S.A.
(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) þ.
ITEM 4
OWNERSHIP
(a) AMOUNT BENEFICIALLY OWNED:
     2,868,498 shares, including 7,500 shares issuable upon exercise of stock options scheduled to vest on February 26, 2011. Mr. Griffin disclaims beneficial ownership interest of 1,800,000 shares owned by a family limited liability company and of 971,296 shares owned by a family limited partnership, except to the extent of his pecuniary interest therein. Such shares owned by the family limited liability company and the family limited partnership are also deemed to be beneficially owned by Mr. Griffin’s father, Robert E. Griffin, which beneficial ownership is separately reported by Mr. Robert E. Griffin.

 


 

                       
CUSIP No.
 
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(b) PERCENT OF CLASS:
     22.46%
(c)  (i)  SOLE VOTING POWER:      97,202
 
   (ii) SHARED VOTING POWER:      2,771,296
 
   (iii) SOLE DISPOSITIVE POWER:    97,202
 
   (iv) SHARED DISPOSITIVE POWER:      2,771,296
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

 


 

                       
CUSIP No.
 
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13G Page  
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ITEM 9
NOTICE OF DISSOLUTION OF GROUP
Not Applicable
ITEM 10
CERTIFICATION
     By signing below, the undersigned certifies that, to the best of his 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 his knowledge and belief, the undersigned hereby certifies that the information set forth in this statement is true, complete and correct.
Date: February 10, 2011
         
     
  /s/ PATRICK J. GRIFFIN    
  PATRICK J. GRIFFIN   
     
 

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