Filing Details
- Accession Number:
- 0001104659-18-058362
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-09-25 11:45:18
- Reporting Period:
- 2018-01-24
- Accepted Time:
- 2018-09-25 11:45:18
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 896156 | Ethan Allen Interiors Inc | ETH | Wood Household Furniture, (No Upholstered) (2511) | 061275288 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1217614 | Farooq M Kathwari | 25 Lake Avenue Ext. Danbury CT 06811 | Chairman, President & Ceo | Yes | Yes | Yes | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2018-01-24 | 16,234 | $0.00 | 1,963,169 | No | 4 | D | Direct | |
| Common Stock | Acquisiton | 2018-09-21 | 40,000 | $0.00 | 2,003,169 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2018-09-21 | 37,882 | $21.51 | 1,965,287 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | D | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Options (right to buy) | Disposition | 2018-09-21 | 40,000 | $0.00 | 40,000 | $15.93 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 10,000 | 2018-11-11 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 343,651 | Indirect | The Irfan Kathwari Foundation |
| Common Stock | 15,364 | Indirect | Shares held by spouse |
Footnotes
- These restricted stock units were issued pursuant to the Ethan Allen Interiors Inc. (the "Company") Stock Incentive Plan on July 26, 2017 and were forfeited back to the Company prior to vesting, upon approval of such forfeiture by the Compensation Committee. The forfeiture was inadvertently not timely reported when effected due to administrative oversight.
- Represents the exercise of 40,000 stock options, of which 50,000 were granted to the reporting person on November 11, 2008. The stock options vested and became exercisable 25% per year over four years starting one year from the date of grant.
- Represents shares of common stock sold in the open market on September 21, 2018, a portion of the proceeds of which was used to pay the exercise price of the stock options.
- Represents the number of shares of common stock directly beneficially owned by the reporting person as a result of the last transaction reported pursuant to Section 16(a) under the Securities Exchange Act of 1934, as amended, before the transactions reported herein that were effected on September 21, 2018.
- The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.40 to $21.88, inclusive. The reporting person undertakes to provide to the Company any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.
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