144: Filer Information
| Filer CIK | 0001217614 |
| Filer CCC | XXXXXXXX |
| Is this a LIVE or TEST Filing? |  LIVE
 TEST
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Submission Contact Information | |
| Name | |
| Phone | |
| E-Mail Address |
| Form 144 Filer Information |
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 | |
FORM 144 |
144: Issuer Information
| Name of Issuer | Ethan Allen Interiors, Inc. |
| SEC File Number | 001-11692 |
| Address of Issuer | 25 Lake Avenue Ext. Danbury CONNECTICUT 06811 |
| Phone | 203-743-8000 |
| Name of Person for Whose Account the Securities are To Be Sold | Mohammad Farooq Kathwari |
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.
| |
| Relationship to Issuer | Director |
| Relationship to Issuer | Officer |
| Relationship to Issuer | 10% Shareholder |
144: Securities Information
| Title of the Class of Securities To Be Sold | Common Stock |
| Name and Address of the Broker | J.P. Morgan Securities LLC 390 Madison Avenue 6th Floor New York NY 10017 |
| Number of Shares or Other Units To Be Sold | 56100 |
| Aggregate Market Value | 1665048 |
| Number of Shares or Other Units Outstanding | 25429960 |
| Approximate Date of Sale | 12/17/2024 |
| Name the Securities Exchange | NYSE |
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:
144: Securities To Be Sold
| Title of the Class | Common Stock | ||||
| Date you Acquired | 07/15/2005 | ||||
| Nature of Acquisition Transaction | RSU Vesting | ||||
| Name of Person from Whom Acquired | Issuer | ||||
| |||||
| Amount of Securities Acquired | 30000 | ||||
| Date of Payment | 07/15/2005 | ||||
| Nature of Payment | Compensation | ||||
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.
144: Securities To Be Sold
| Title of the Class | Common Stock | ||||
| Date you Acquired | 10/05/2017 | ||||
| Nature of Acquisition Transaction | Transfer to the Irfan Kathwari Foundation, Inc. | ||||
| Name of Person from Whom Acquired | Mohammad Farooq Kathwari, who acquired the shares from the Issuer RSU vesting on 07/15/05 | ||||
| |||||
| Amount of Securities Acquired | 24000 | ||||
| Date of Payment | 10/05/2017 | ||||
| Nature of Payment | N/A | ||||
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.
144: Securities To Be Sold
| Title of the Class | Common Stock | ||||
| Date you Acquired | 09/15/2021 | ||||
| Nature of Acquisition Transaction | Transfer to the 2020 Trust FBO Kolhai Gibran Kathwari | ||||
| Name of Person from Whom Acquired | Mohammad Farooq Kathwari, who acquired the shares from the Issuer RSU vesting on 05/14/20 | ||||
| |||||
| Amount of Securities Acquired | 525 | ||||
| Date of Payment | 09/15/2021 | ||||
| Nature of Payment | N/A | ||||
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.
144: Securities To Be Sold
| Title of the Class | Common Stock | ||||
| Date you Acquired | 09/15/2021 | ||||
| Nature of Acquisition Transaction | Transfer to the 2020 Trust FBO Zavier Irfan Kathwari | ||||
| Name of Person from Whom Acquired | Mohammad Farooq Kathwari, who acquired the shares from the Issuer RSU vesting on 05/14/20 | ||||
| |||||
| Amount of Securities Acquired | 525 | ||||
| Date of Payment | 09/15/2021 | ||||
| Nature of Payment | N/A | ||||
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.
144: Securities To Be Sold
| Title of the Class | Common Stock | ||||
| Date you Acquired | 09/15/2021 | ||||
| Nature of Acquisition Transaction | Transfer to the 2020 Trust FBO Gabriel Alexander Van Puyenbroeck-Kathwari | ||||
| Name of Person from Whom Acquired | Mohammad Farooq Kathwari, who acquired the shares from the Issuer RSU vesting on 05/14/20 | ||||
| |||||
| Amount of Securities Acquired | 525 | ||||
| Date of Payment | 09/15/2021 | ||||
| Nature of Payment | N/A | ||||
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.
144: Securities To Be Sold
| Title of the Class | Common Stock | ||||
| Date you Acquired | 09/15/2021 | ||||
| Nature of Acquisition Transaction | Transfer to the 2020 Trust FBO Samantha Maxime Van Puyenbroeck-Kathwari | ||||
| Name of Person from Whom Acquired | Mohammad Farooq Kathwari, who acquired the shares from the Issuer RSU vesting on 05/14/20 | ||||
| |||||
| Amount of Securities Acquired | 525 | ||||
| Date of Payment | 09/15/2021 | ||||
| Nature of Payment | N/A | ||||
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.
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.
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | Mohammad Farooq Kathwari C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 10/17/2024 |
| Amount of Securities Sold | 10000 |
| Gross Proceeds | 308733 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | Mohammad Farooq Kathwari C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 11/18/2024 |
| Amount of Securities Sold | 10000 |
| Gross Proceeds | 287748 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | Irfan Kathwari Foundation, Inc. C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 10/17/2024 |
| Amount of Securities Sold | 8000 |
| Gross Proceeds | 246987 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | Irfan Kathwari Foundation, Inc. C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 11/18/2024 |
| Amount of Securities Sold | 8000 |
| Gross Proceeds | 230199 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | 2020 Trust FBO Kolhai Gibran Kathwari; C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 10/17/2024 |
| Amount of Securities Sold | 175 |
| Gross Proceeds | 5403 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | 2020 Trust FBO Kolhai Gibran Kathwari; C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 11/18/2024 |
| Amount of Securities Sold | 175 |
| Gross Proceeds | 5036 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | 2020 Trust FBO Zavier Irfan Kathwari C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 10/17/2024 |
| Amount of Securities Sold | 175 |
| Gross Proceeds | 5403 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | 2020 Trust FBO Zavier Irfan Kathwari C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 11/18/2024 |
| Amount of Securities Sold | 175 |
| Gross Proceeds | 5036 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | 2020 Trust FBO Gabriel Alexander Van Puyenbroeck-Kathwari C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 10/17/2024 |
| Amount of Securities Sold | 175 |
| Gross Proceeds | 5403 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | 2020 Trust FBO Gabriel Alexander Van Puyenbroeck-Kathwari C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 11/18/2024 |
| Amount of Securities Sold | 175 |
| Gross Proceeds | 5036 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | 2020 Trust FBO Samantha Maxime Van Puyenbroeck-Kathwari C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 10/17/2024 |
| Amount of Securities Sold | 175 |
| Gross Proceeds | 5403 |
144: Securities Sold During The Past 3 Months
| Name and Address of Seller | 2020 Trust FBO Samantha Maxime Van Puyenbroeck-Kathwari C/o Ethan Allen Interiors, Inc. 25 Lake Avenue Ext. Danbury CT 068100 |
| Title of Securities Sold | Common Stock |
| Date of Sale | 11/18/2024 |
| Amount of Securities Sold | 175 |
| Gross Proceeds | 5036 |
144: Remarks and Signature
| Remarks | Of the shares filed today, 30,000 shares will be sold by Mohammad Farooq Kathwari, 24,000 shares by the Irfan Kathwari Foundation, Inc., 525 shares by the 2020 Trust FBO Kolhai Gibran Kathwari, 525 shares by the 2020 Trust FBO Zavier Irfan Kathwari, 525 shares by the 2020 Trust FBO Gabriel Alexander Van Puyenbroeck-Kathwari and 525 shares by the 2020 Trust FBO Samantha Maxime Van Puyenbroeck-Kathwari. |
| Date of Notice | 12/17/2024 |
| Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1 | 03/14/2024 |
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. | |
| Signature | /s/ J.P. Morgan Securities LLC as agent and attorney-in-fact for Mohammad Farooq Kathwari |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) | |