SEC Form 4/A · accession 0001179110-17-010796
ETHAN ALLEN INTERIORS INC · ETD
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
M Farooq Kathwari
Officer — Chairman, President & CEO · Director · 10% Owner
Period of report
Jul 26, 2017
Accepted (ET)
Jul 28, 2017 · 6:18 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 StockF1 | Jul 26, 2017 | A | 59,211 | $0.00 | A | 2,119,883 | D | |
| Common StockF2 | Jul 26, 2017 | A | 16,234 | $0.00 | A | 2,136,117 | D | |
| Common Stock | holding | — | — | — | 317,682 | I | The Irfan Kathwari Foundation | |
| Common Stock | holding | — | — | — | 15,364 | I | Shares held by spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represent shares earned by the Reporting Person for no consideration upon the vesting of performance stock units previously granted to the Reporting Person under the Ethan Allen Interiors Inc. Stock Incentive Plan (the "PSUs"). The vesting of the PSUs was subject to certain performance targets upon the certification of performance by the Issuer's compensation committee on July 26, 2017.
- F2Represents 16,234 shares of common stock issuable upon the vesting of restricted stock units granted to the Reporting Person on July 26, 2017 under the Ethan Allen Interiors Inc. Stock Incentive Plan (the "RSUs"). The RSUs vest in two equal annual installments starting on the first anniversary of the date of grant.