SEC Form 4 · accession 0001179110-15-005378
ETHAN ALLEN INTERIORS INC · ETD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
M Farooq Kathwari
Officer — Chairman, President & CEO · Director · 10% Owner
Period of report
Mar 20, 2015
Accepted (ET)
Mar 24, 2015 · 4:47 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000896156
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Mar 20, 2015 | G | 30,000 | $0.00 | D | 2,122,073 | D | |
| Stock Options (right to buy) | Mar 20, 2015 | M | 10,000 | $15.93 | A | 2,132,073 | D | |
| Stock Options (right to buy) | Mar 20, 2015 | M | 60,000 | $10.68 | A | 2,192,073 | D | |
| Stock Options (right to buy) | Mar 20, 2015 | M | 50,000 | $14.86 | A | 2,242,073 | D | |
| Stock Options (right to buy)F1 | Mar 20, 2015 | F | 70,674 | $27.98 | D | 2,171,399 | D | |
| Stock Options (right to buy) | Mar 20, 2015 | M | 180,000 | $13.61 | A | 2,351,399 | D | |
| Stock options (right to buy)F1 | Mar 20, 2015 | F | 110,727 | $27.98 | D | 2,240,672 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy) | $15.93 | Mar 20, 2015 | M | 10,000 | D | Nov 11, 2009 | Nov 11, 2018 | Common Stock | 10,000 | 40,000 | D |
| Common Stock (right to buy) | $10.68 | Mar 20, 2015 | M | 60,000 | D | Jul 1, 2010 | Jun 30, 2019 | Common Stock | 60,000 | 0 | D |
| Stock Options (right to buy) | $14.86 | Mar 20, 2015 | M | 50,000 | D | Feb 3, 2011 | Feb 3, 2020 | Common Stock | 50,000 | 0 | D |
| Stock Options (right to buy) | $13.61 | Mar 20, 2015 | M | 180,000 | D | Oct 1, 2012 | Oct 1, 2021 | Common Stock | 180,000 | 120,000 | D |
Explanation of responses
- F1Shares paid to Company by Reporting Person to cover cost of options and tax obligations; the remaining shares held by Reporting Person.