UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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Ethan Allen Interiors Inc.
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Class A Common Stock, par value $0.01 per share
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297602104
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December 31, 2013
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(Date of Event which Requires Filing of this Statement)
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1
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Names of Reporting Persons.
Odey Asset Management Group Ltd
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2
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) [ ]
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(b) [ ]
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3
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SEC Use Only
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4
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Citizenship or Place of Organization.
England
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Number
of Shares
Beneficially
Owned by
Each
Reporting
Person With
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5 Sole Voting Power
0 shares
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6 Shared Voting Power
2,045,632 shares
Refer to Item 4 below.
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7 Sole Dispositive Power
0 shares
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8 Shared Dispositive Power
2,045,632 shares
Refer to Item 4 below.
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9
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Aggregate Amount Beneficially Owned by Each Reporting Person
2,045,632 shares
Refer to Item 4 below.
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10
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ]
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11
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Percent of Class Represented by Amount in Row (9)
7.1%
Refer to Item 4 below.
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12
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Type of Reporting Person (See Instructions)
CO, HC
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1
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Names of Reporting Persons.
Odey Asset Management LLP
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2
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) [ ]
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(b) [ ]
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3
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SEC Use Only
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4
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Citizenship or Place of Organization.
England
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Number
of Shares
Beneficially
Owned by
Each
Reporting
Person With
|
5 Sole Voting Power
0 shares
|
6 Shared Voting Power
2,045,632 shares
Refer to Item 4 below.
|
|
7 Sole Dispositive Power
0 shares
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8 Shared Dispositive Power
2,045,632 shares
Refer to Item 4 below.
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9
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Aggregate Amount Beneficially Owned by Each Reporting Person
2,045,632 shares
Refer to Item 4 below.
|
10
|
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ]
|
11
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Percent of Class Represented by Amount in Row (9)
7.1%
Refer to Item 4 below.
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12
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Type of Reporting Person (See Instructions)
PN, IA
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1
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Names of Reporting Persons.
Odey Holdings AG
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2
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) [ ]
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(b) [ ]
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3
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SEC Use Only
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4
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Citizenship or Place of Organization.
Switzerland
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Number
of Shares
Beneficially
Owned by
Each
Reporting
Person With
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5 Sole Voting Power
0 shares
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6 Shared Voting Power
2,045,632 shares
Refer to Item 4 below.
|
|
7 Sole Dispositive Power
0 shares
|
|
8 Shared Dispositive Power
2,045,632 shares
Refer to Item 4 below.
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9
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,045,632 shares
Refer to Item 4 below.
|
10
|
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ]
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11
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Percent of Class Represented by Amount in Row (9)
7.1%
Refer to Item 4 below.
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12
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Type of Reporting Person (See Instructions)
CO, HC
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1
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Names of Reporting Persons.
Robin Crispin William Odey (“Crispin Odey”)
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2
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Check the Appropriate Box if a Member of a Group (See Instructions)
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(a) [ ]
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(b) [ ]
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3
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SEC Use Only
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4
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Citizenship or Place of Organization.
England
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Number
of Shares
Beneficially
Owned by
Each
Reporting
Person With
|
5 Sole Voting Power
0 shares
|
6 Shared Voting Power
2,045,632 shares
Refer to Item 4 below.
|
|
7 Sole Dispositive Power
0 shares
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8 Shared Dispositive Power
2,045,632 shares
Refer to Item 4 below.
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9
|
Aggregate Amount Beneficially Owned by Each Reporting Person
2,045,632 shares
Refer to Item 4 below.
|
10
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ]
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11
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Percent of Class Represented by Amount in Row (9)
7.1%
Refer to Item 4 below.
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12
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Type of Reporting Person (See Instructions)
IN, HC
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Item 1
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(a)
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Name of Issuer
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Ethan Allen Interiors Inc.
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(b)
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Address of Issuer’s Principal Executive Offices
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Ethan Allen Drive, Danbury, CT 06811
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Item 2
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(a)
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Name of Person Filing
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Odey Asset Management Group Ltd
Odey Asset Management LLP
Odey Holdings AG
Crispin Odey
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(b)
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Address of Principal Business Office or, if none, Residence
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Odey Asset Management Group Ltd
Odey Asset Management LLP
Odey Holdings AG
Crispin Odey
c/o Odey Asset Management Group Ltd
12 Upper Grosvenor Street
London, United Kingdom W1K 2ND
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(c)
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Citizenship
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Odey Asset Management Group Ltd – England
Odey Asset Management LLP – England
Odey Holdings AG – Switzerland
Crispin Odey – England
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(d)
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Title of Class of Securities
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Class A Common Stock, par value $0.01 per share
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(e)
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CUSIP Number
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297602104
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Item 3
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
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(a)
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[ ]
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
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(b)
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[ ]
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
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(c)
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[ ]
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Insurance Company as defined in Section 3(a)(19) of the Act;
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(d)
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[ ]
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8);
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(e)
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[x]
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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[ ]
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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[x]
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A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
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(h)
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[ ]
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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[ ]
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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[ ]
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A non-U.S. institution in accordance with §240.13d–1(b)(1)(ii)(J);
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(k)
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[ ]
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Group, in accordance with §240.13d-1(b)(1)(ii)(K).
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Item 4
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Ownership
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Shares reported herein for Odey Asset Management LLP (“OAM LLP”) represent shares held for the benefit of investment advisory clients of OAM LLP. Odey Asset Management Group Ltd (“OAM Ltd”) is the managing member of OAM LLP, Odey Holdings AG (“Odey Holdings”) is the sole stockholder of OAM Ltd, and Mr. Odey is the sole stockholder of Odey Holdings. For all purposes other than the filing of this Schedule 13G, each of the Reporting Persons disclaims beneficial ownership of the shares reported herein except to the extent of its or his pecuniary interest therein.
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Item 4(a)
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Amount Beneficially Owned
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Odey Asset Management Group Ltd – 2,045,632 shares
Odey Asset Management LLP – 2,045,632 shares
Odey Holdings AG – 2,045,632 shares
Crispin Odey – 2,045,632 shares
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Item 4(b)
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Percent of Class
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Odey Asset Management Group Ltd – 7.1%
Odey Asset Management LLP – 7.1%
Odey Holdings AG – 7.1%
Crispin Odey – 7.1%
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Item 4(c)
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Number of shares as to which each such person has voting and dispositive power:
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(i)
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sole power to vote or to direct the vote
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Odey Asset Management Group Ltd – 0 shares
Odey Asset Management LLP – 0 shares
Odey Holdings AG – 0 shares
Crispin Odey – 0 shares
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(ii)
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shared power to vote or to direct the vote
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Odey Asset Management Group Ltd – 2,045,632 shares
Odey Asset Management LLP – 2,045,632 shares
Odey Holdings AG – 2,045,632 shares
Crispin Odey – 2,045,632 shares
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(iii)
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sole power to dispose or to direct the disposition of
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Odey Asset Management Group Ltd – 0 shares
Odey Asset Management LLP – 0 shares
Odey Holdings AG – 0 shares
Crispin Odey – 0 shares
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(iv)
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shared power to dispose or to direct the disposition of
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Odey Asset Management Group Ltd – 2,045,632 shares
Odey Asset Management LLP – 2,045,632 shares
Odey Holdings AG – 2,045,632 shares
Crispin Odey – 2,045,632 shares
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Item 5
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Ownership of Five Percent or Less of a Class
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Not applicable.
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Item 6
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Ownership of More than Five Percent on Behalf of Another Person
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Dividends received from, and proceeds from the sale of, the shares reported herein, if any, are allocated by Odey Asset Management LLP to the applicable accounts of its clients and are distributed or retained in accordance with its investment advisory agreements with those clients.
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Item 7
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Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
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Not applicable.
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Item 8
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Identification and Classification of Members of the Group
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Not applicable.
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Item 9
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Notice of Dissolution of Group
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Not applicable.
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Item 10
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Certification
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Exhibits
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Exhibit
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99.1
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Joint Filing Agreement by and among the Reporting Persons.
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ODEY ASSET MANAGEMENT GROUP LTD
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By: /s/ Fergus B. Lee
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Fergus B. Lee, Chief Compliance Officer
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ODEY ASSET MANAGEMENT LLP
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By: /s/ Fergus B. Lee
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Fergus B. Lee, Chief Compliance Officer
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ODEY HOLDINGS AG
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By: /s/ Fergus B. Lee
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Fergus B. Lee, Chief Compliance Officer
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ROBIN CRISPIN WILLIAM ODEY
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/s/ Fergus B. Lee
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Fergus B. Lee, as attorney-in-fact for Robin Crispin William Odey*
*The Power of Attorney executed by Mr. Odey authorizing the signatory to sign and file this Schedule 13G on Mr. Odey’s behalf, filed as Exhibit 99.2 to the Schedule 13G filed with the Securities and Exchange Commission on May 8, 2013 by Mr. Odey and other reporting persons with respect to the common stock of Quanex Building Products Corporation, is incorporated herein by reference.
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