SEC Form 4/A · accession 0001179110-18-012276
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
Jan 24, 2018
Accepted (ET)
Oct 19, 2018 · 4:15 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 | Jan 24, 2018 | D | 16,234 | $0.00 | D | 1,967,259 | D | |
| Common StockF2,F1 | Sep 21, 2018 | M | 40,000 | $15.93 | A | 2,007,259 | D | |
| Common StockF1 | Sep 21, 2018 | J | 37,882 | $21.51 | D | 1,969,377 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This Form 4/A is being filed to correct a scrivener's error in the amount of securities beneficially owned after the reported transaction on the original Form 4 filed on September 25, 2018.
- F2This Form 4/A is being filed to correct a scrivener's error in the price of the securities acquired on the original Form 4 filed on September 25, 2018.
- F3This Form 4/A is being filed to correct a scrivener's error in Footnote (2) on the original Form 4 filed on September 25, 2018, which noted "(2) Represents the exercise of 40,000 stock options, of which 50,000 were granted to the reporting person on November 11, 2018." This should have read instead, "(2) Represents the exercise of 40,000 stock options, of which 50,000 were granted to the reporting person on November 11, 2008."
- F4Disposition of shares to cover exercise price and tax liabilities incurred to exercise options as set forth in Footnote (3) above.