-----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, MxmCFSAyHHFcEjVUVcuKIfkpgnK90+FXIdR6/iXaqTlOoMwmzuXitVwniHJWGHbe kolUg9eGqNSPR2x1Qa2OTQ== 0000950152-08-001024.txt : 20080212 0000950152-08-001024.hdr.sgml : 20080212 20080212144236 ACCESSION NUMBER: 0000950152-08-001024 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080212 DATE AS OF CHANGE: 20080212 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: 1230 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-10280 FILM NUMBER: 08597685 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GRIFFIN ROBERT E CENTRAL INDEX KEY: 0000901806 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 817 MAXWELL AVE CITY: EVANSVILLE STATE: IN ZIP: 477717 BUSINESS PHONE: 8124671244 MAIL ADDRESS: STREET 2: 817 MAXWELL AVE CITY: EVANSVILLE STATE: IN ZIP: 47717 SC 13G/A 1 l30034asc13gza.htm ESCALADE, INC/ROBERT E. GRIFFIN SC 13G/A Escalade, Inc/Robert E. Griffin SC 13G/A
 

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 20)*
ESCALADE, INCORPORATED
(Name of Issuer)
Common Stock, No Par Value
(Title of Class of Securities)
296056-10-4
(CUSIP Number)
December 31, 2007
(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)
Page 1 of 5 Pages
 
 

 

 

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

Robert E. 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   506,992
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   2,822,258
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   506,992
       
WITH 8   SHARED DISPOSITIVE POWER
     
    2,822,258
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  3,329,250. See Item 4(a).
     
10   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
   
  Not Applicable
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
   
  26.26%
     
12   TYPE OF REPORTING PERSON*
   
  IN

 

 

                       
CUSIP No.
  
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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: Robert E. 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:
     3,329,250 shares, including 1,250 restricted stock units scheduled to vest in April, 2008 and 2,598 stock options currently vested that will expire in April, 2008 if not timely exercised. Mr. Griffin disclaims beneficial ownership interest of 62,462 shares owned by his adult children and of 1,800,000 shares owned by a family limited liability company and 959,796 shares owned by a family limited partnership, except to the extent of his pecuniary interest therein.

 

 

                       
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(b) PERCENT OF CLASS:
26.26%
(c) (i) SOLE VOTING POWER:      506,992
     (ii) SHARED VOTING POWER:       2,822,258
     (iii) SOLE DISPOSITIVE POWER:    506,992
     (iv) SHARED DISPOSITIVE POWER:       2,822,258
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 7, 2008
         
 
  /S/ ROBERT E. GRIFFIN    
 
       
 
  ROBERT E. GRIFFIN    

 

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