Amended Statement of Changes in Beneficial Ownership (4/a)
October 19 2018 - 4:18PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
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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
*
KATHWARI M FAROOQ
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2. Issuer Name
and
Ticker or Trading Symbol
ETHAN ALLEN INTERIORS INC
[
ETH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chairman, President & CEO
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(Last)
(First)
(Middle)
25 LAKE AVENUE EXT.
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3. Date of Earliest Transaction
(MM/DD/YYYY)
1/24/2018
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(Street)
DANBURY, CT 06811
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
9/25/2018
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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1/24/2018
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D
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16234
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D
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$0
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1967259
(1)
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D
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Common Stock
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9/21/2018
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M
(3)
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40000
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A
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$15.93
(2)
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2007259
(1)
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D
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Common Stock
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9/21/2018
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J
(4)
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37882
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D
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$21.51
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1969377
(1)
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D
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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 Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(1)
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This 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.
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(2)
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This 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.
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(3)
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This 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."
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(4)
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Disposition of shares to cover exercise price and tax liabilities incurred to exercise options as set forth in Footnote (3) above.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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KATHWARI M FAROOQ
25 LAKE AVENUE EXT.
DANBURY, CT 06811
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X
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X
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Chairman, President & CEO
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Signatures
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Eric D. Koster as attorney-in-fact for M. Farooq Kathwari
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10/19/2018
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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 control number.
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