Washington D.C. 20549



Specialized Disclosure Report



(Exact name of registrant as specified in its charter)





(State or other jurisdiction

of incorporation or organization)

   (Commission File Number)

(IRS Employer Identification No.)


25 Lake Avenue Ext.

Danbury, Connecticut


(Address of principal executive offices)

(Zip Code)



Eric D. Koster, Esq., Vice President, General Counsel and Secretary

(203) 743-8508
(Name and telephone number, including area code, of the person to contact in connection with this report.)



Check the appropriate box to indicate the rule pursuant to which this form is being filed, and provide the period to which the information in this form applies:


☒ Rule 13p-1 under the Securities ExchangeAct (17 CFR 240.13p-1) for the reporting period from January 1, 2021 to December 31, 2021





Section 1 Conflict Minerals Disclosure


Item 1.01

Conflict Minerals Disclosure and Report


This Specialized Disclosure Report on Form SD (“Form SD”) of Ethan Allen Interiors Inc. (the “Company”) is presented to comply with Rule 13p-1 under the Securities Exchange Act of 1934, as amended, (“Rule”) for the reporting period January 1, 2021 to December 31, 2021. The Rule was adopted by the Securities and Exchange Commission (“SEC”) to implement reporting and disclosure requirements related to “conflict minerals” as directed by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (“Dodd-Frank Act”). Conflict minerals are defined by the SEC as columbite-tantalite (coltan), cassiterite, gold, wolframite, including their derivatives, which are limited to tantalum, tin, and tungsten (“3TG”). The Rule imposes certain reporting obligations on SEC registrants whose products contain conflict minerals that are necessary to the functionality or production of their products excepting conflict minerals that, prior to January 31, 2013, were located “outside of the supply chain” (as defined in the Rule). For products which contain necessary conflict minerals, the registrant must conduct in good faith a reasonable country of origin inquiry designed to determine whether any of the conflict minerals originated in the Democratic Republic of the Congo (“DRC”) or “adjoining country” (as defined in Section 1502 of the Dodd-Frank Act), collectively defined as the “Covered Countries.”  If, based on such inquiry, the registrant knows or has reason to believe that any of the necessary conflict minerals contained in its products originated or may have originated in a Covered Country and knows or has reason to believe that those necessary conflict minerals may not be solely from recycled or scrap sources, the registrant must conduct due diligence as a method to conclude if the necessary conflict minerals contained in those products did or did not directly or indirectly finance or benefit armed groups in the Covered Countries. These requirements apply to registrants whatever the geographic origin of the conflict minerals and whether or not they fund armed conflict.


Conflict Minterals Disclosure


A copy of the Conflict Minerals Report of the Company for the reporting period January 1, 2021 to December 31, 2021 is filed as Exhibit 1.01 to this specialized disclosure report on Form SD and is also publicly available on the Company’s website at https://ir.ethanallen.com. The content of any website referred to in this Form SD is included for general information only and is not incorporated by reference in this Form SD. 



Item 1.02



The Conflict Minerals Report required by Item 1.01 is filed as Exhibit 1.01 to this Form SD.


Section 2 Exhibits


Item 2.01



Exhibit No.



Exhibit 1.01

Conflict Minerals Report, as required by Items 1.01 and 1.02 of this Form SD.






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.






Date: May 12, 2022

By:/s/ Eric D. Koster

Eric D. Koster

Vice President, General Counsel and Secretary