United states

 

SECURITIES AND EXCHANGE COMMISSION

 

WashingtonD.C. 20549

 

FORM 8-K

 

Current Report
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): November 16, 2016

 

ETHAN ALLEN INTERIORS INC.

 

(Exact name of registrant as specified in its charter)

 

Delaware

1-11692

06-1275288

(State or other jurisdiction of

incorporation)

(Commission File Number)

(I.R.S. Employer Identification No.)

   

Ethan Allen Drive

Danbury, CT


06811

(Address of principal executive offices)

(Zip Code)

  

Registrant’s telephone number, including area code: (203) 743-8000

 

 

Not Applicable

 

 

(Former name or former address, if changed since last report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

 

[  ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

[  ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

[  ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 



  

 
 

 

 

INFORMATION TO BE INCLUDED IN Report

 

Item 5.03

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

 

As described in item 5.07 of this Current Report on Form 8-K, at the November 16, 2016 Annual Meeting of Stockholders (the “Annual Meeting”) held by Ethan Allen Interiors Inc. (the “Company”) in Danbury, CT, the Company’s stockholders voted on the approval of amendments to the Company’s By-laws and Certificate of Incorporation (“COI”). The amendments were approved by the requisite voting percentages of stockholders.

 

Item 5.07

Submission of Matters to a Vote of Security Holders

 

The Company held its Annual Meeting on November 16, 2016. Set forth below are the final voting results for each of the proposals submitted to stockholders. 

 

1. Election of Directors

 

Votes For

   

Votes Against

   

Abstaintions

   

Broker

Non-Votes

 

M. Farooq Kathwari

    25,170,982       345,134       40,860       1,100,738  

James B. Carlson

    25,325,175       172,078       59,723       1,100,738  

John J. Dooner, Jr.

    25,323,493       177,933       55,550       1,100,738  

Domenick J. Esposito

    25,325,046       176,065       54,865       1,100,738  

Mary Garrett

    25,490,566       13,809       52,601       1,100,738  

James W. Schmotter

    25,328,639       171,059       57,278       1,100,738  

Tara I. Stacom

    25,336,167       166,603       54,206       1,100,738  

 

Proposal

 

Votes For

   

Votes Against

   

Abstaintions

   

Broker

Non-Votes

 

2. By-law Amendments for Director Nominations

    24,828,219       676,794       51,963       1,100,738  

3. By-law Amendments for "Proxy Access"

    23,461,414       2,031,860       63,702       1,100,738  

4. By-law Amendments for Majority Voting

    25,471,779       65,424       19,773       1,100,738  

5. COI / By-law Amendments for Director Removal

    26,472,802       50,901       134,011       -  

6. Say on Pay

    24,465,846       1,020,947       70,183       1,100,738  

7. Ratify Auditors

    26,462,424       118,676       76,604       -  

 

 

Item 9.01

Financial Statements and Exhibits

 

(d) Exhibits

 

See Index to Exhibits attached hereto 

 

 
 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

ETHAN ALLEN INTERIORS INC.

 

 

 

 

 

Date: November 18,2016

By:

/s/ Eric D. Koster

 

 

 

Eric D. Koster

 

 

 

Vice President, General Counsel & Secretary

 

 

 

EXHIBIT INDEX

 
   

Exhibit Number

Exhibit Description

3(a)

Amended and Restated Certificate of Incorporation of Ethan Allen Interiors Inc. dated as of November 16, 2016

3(d)

Amended and Restated Bylaws of Ethan Allen Interiors Inc. dated as of November 16, 2016