New insider Diefenbach Douglas H. claimed ownership of 7,074 shares (SEC Form 3)
$ETD
Home Furnishings
Consumer Discretionary
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 11/04/2024 |
3. Issuer Name and Ticker or Trading Symbol
ETHAN ALLEN INTERIORS INC [ ETD ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 5,597(1) | D | |
| Common Stock | 500(2) | D | |
| Common Stock | 977(3) | I | Shares held in 401(k) plan. |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Employee Stock Option (right to buy) | 06/15/2018 | 06/15/2025 | Common Stock | 666(4) | $26.19 | D | |
| Explanation of Responses: |
| 1. These shares are privately owned. |
| 2. Represents unvested restricted stock units previously granted on August 10, 2021 under the Ethan Allen Interiors Inc. Stock Incentive Plan; these restricted stock units vest ratably, with the remaining outstanding units scheduled to vest on August 10, 2025. |
| 3. Represents shares held in The Ethan Allen Retirement Savings Plan (the "401k Plan"). |
| 4. Represents stock options previously granted on June 15, 2015 under the Ethan Allen Interiors Inc. Stock Incentive Plan; these stock options became fully vested and exercisable on June 15, 2020 and expire ten years after grant date. |
| /s/ Matthew J. McNulty as attorney-in-fact for Douglas H. Diefenbach | 11/04/2024 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||