UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 144

 

NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

ATTENTION:

Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker
 

 

1 (a) NAME OF ISSUER (Please type or print)

(b) IRS IDENT. NO.

(c) S.E.C. FILE NO.

    

Ethan Allen Interiors, Inc.

06-1275288 

1-11692

    

1 (d) ADDRESS OF ISSUER

STREET

CITY

STATE

ZIP CODE

(e) TELEPHONE NO.
 

25 Lake Avenue Ext.

Danbury

CT

06811

AREA CODE

NUMBER
         

203

743-8000

2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD

  

(b) RELATIONSHIP TO ISSUER

(c) ADDRESS STREET

CITY

STATE

ZIP CODE

Corey Whitely

  

Officer

c/o Ethan Allen Interiors, 25 Lake Avenue Ext.

Danbury

CT

06811

 

INSTRUCTION:  The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3 (a)

(b)

SEC USE ONLY

(c)

(d)

(e)

(f)

(g)

Title of the

Class of

Securities

To Be Sold

Name and Address of Each Broker Through Whom the

Securities are to be Offered or Each Market Maker

who is Acquiring the Securities

Broker-Dealer

File Number

Number of Shares

or Other Units

To Be Sold

(See instr. 3(c))

Aggregate

Market

Value

(See instr. 3(d))

Number of Shares

or Other Units

Outstanding

(See instr. 3(e))

Approximate

Date of Sale

(See instr. 3(f))

(MO.  DAY  YR.)

Name of Each

Securities

Exchange

(See instr. 3(g))

Common Stock

Cowen and Company, LLC

599 Lexington Avenue,

21st Floor

New York, NY 10019

  

1,561

$48,127.00

25,196,789

05/05/2021

NYSE
               
               

 

 
 

 

INSTRUCTIONS:

 

1.

(a)  Name of issuer

3.

(a) Title of the class of securities to be sold
 

(b)  Issuer’s I.R.S. Identification Number

  

(b)  Name and address of each broker through whom the securities are intended to be sold
 

(c)  Issuer’s S.E.C. file number, if any

  

(c)  Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
 

(d)  Issuer’s address, including zip code

  

(d)  Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
 

(e)  Issuer’s telephone number, including area code

  

(e)  Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

2.

(a)  Name of person for whose account the securities are to be sold

  

(f)  Approximate date on which the securities are to be sold
 

(b)  Such person’s relationship to the issuer (e.g., officer, director, 10%stockholder, or member of immediate family of any of the foregoing)

  

(g)  Name of each securities exchange, if any, on which the securities are intended to be sold
 

(c)  Such person’s address, including zip code

  

 
 

(d)  Such person’s address, including zip code

  

 

 

 
 

 

TABLE I - SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

the Class

Date you

Acquired

Nature of Acquisition Transaction

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

Amount of Securities

Acquired

Date of

Payment

Nature of

Payment
             

 

INSTRUCTIONS:  If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

 

 

TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller

Title of Securities Sold

Date of Sale

Amount of

Securities Sold

Gross Proceeds
         

REMARKS:

 

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to  the person for whose account the securities are to be sold but also as to all other persons included  in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

  

ATTENTION:  The person for whose account the securities to which this notice relates are to be sold  hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.

 

 

         
 

DATE OF NOTICE

  

 

(SIGNATURE)
 

5/5/2021

    

  /s/ Corey Whitely
 

DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION, IF RELYING ON RULE 10B5-1

    

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures.

 

ATTENTION:  Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)