SEC Form 4 · accession 0001179110-16-031779
ETHAN ALLEN INTERIORS INC · ETD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Corey Whitely
Officer — EVP Adm., CFO & Treas.
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 4:31 pm EST
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 |
|---|---|---|---|---|---|---|---|---|
| Stock Options (right to buy)F1 | Nov 15, 2016 | M | 28,000 | $17.16 | A | 30,917 | D | |
| Stock Options (right to buy)F2 | Nov 15, 2016 | F | 20,043 | $33.96 | D | 10,874 | 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)F3 | $25.71 | Nov 15, 2016 | M | 2,000 | D | Jun 20, 2008 | Jun 20, 2018 | Common Stock | 2,000 | 0 | D |
| Stock Options (right to buy)F3 | $17.60 | Nov 15, 2016 | M | 3,000 | D | Nov 5, 2008 | Nov 5, 2018 | Common Stock | 3,000 | 0 | D |
| Stock Options (right to buy)F3 | $11.74 | Nov 15, 2016 | M | 10,000 | D | Nov 12, 2009 | Nov 12, 2019 | Common Stock | 10,000 | 0 | D |
| Stock Options (right to buy)F3 | $19.07 | Nov 15, 2016 | M | 6,000 | D | Jul 26, 2011 | Jul 26, 2021 | Common Stock | 6,000 | 0 | D |
| Stock Options (right to buy)F3 | $20.63 | Nov 15, 2016 | M | 7,000 | D | Jul 31, 2012 | Jul 31, 2022 | Common Stock | 7,000 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These stock options were exercised in multiple transactions at prices set forth in Table II, inclusive. The reporting person undertakes to provide to ETH, any security holder of ETH, or the staff of the SEC, upon request, full information regarding the number of options exercised at each separate price with the ranges set forth in this footnote.
- F2The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions as part of a cashless stock option exercise at prices ranging from $33.80 to $34.10, inclusive. The reporting person undertakes to provide to ETH, any security holder of ETH, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.
- F3The date indicated is the grant date and the options vest in four equal installments beginning on such date.