SEC Form 5 · accession 0001179110-18-010089
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
Jun 30, 2018
Accepted (ET)
Aug 2, 2018 · 11:03 am 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 | Aug 30, 2018 | G | 56,000 | $0.00 | D | 2,044,403 | D | |
| Common StockF2 | Aug 30, 2017 | G | 28,000 | $0.00 | D | 2,016,403 | D | |
| Common StockF3 | Oct 5, 2017 | G | 37,000 | $0.00 | D | 1,979,403 | D | |
| Common StockF4 | Mar 16, 2017 | G | 11,031 | $0.00 | D | 306,651 | I | The Irfan Kathwari Foundation |
| Common StockF5 | Oct 5, 2017 | G | 37,000 | $0.00 | A | 343,651 | 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
- F1Represents bonafide gifts of 28,000 shares made to two trusts.
- F2Represents bonafide gifts of 7,000 shares made to four trusts.
- F3Represents bonafide charitable gift to The Irfan Kathwari Foundation.
- F4Represents bonafide charitable gift to Western Connecticut State University.
- F5Represents bonafide charitable gift received from direct holdings.