SEC Form 4 · accession 0001179110-18-001873
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
Feb 8, 2018
Accepted (ET)
Feb 9, 2018 · 10:26 am 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 |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Feb 8, 2018 | P | 4,090 | $24.37 | A | 1,983,493 | D | |
| Common StockF3 | holding | — | — | — | 340,776 | D | ||
| Common Stock | holding | — | — | — | 15,364 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades. The price reported above reflects the weighted average purchase price. The Reporting Person undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and the prices at which the transaction was effected.
- F2Balance reflects the bonafide charitable gift of 37,000 shares on 10/5/17 and the bonafide gift of 84,000 shares on 8/30/17 from direct holdings, the details of which will be reported on the Reporting Person's next Form 5 filing.
- F3Balance reflects 37,000 shares gifted from direct holdings to The Irfan Kathwari Foundation on 10/5/17.