COREY WHITELY - 05 May 2021 Form 4 Insider Report for ETHAN ALLEN INTERIORS INC (ETD)

Role
EVP, Administration & CFO
Signature
/s/ Corey Whitely
Issuer symbol
ETD
Transactions as of
05 May 2021
Net transactions value
-$126,889
Form type
4
Filing time
07 May 2021, 18:41:53 UTC
Next filing
13 Aug 2021
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction ETD Common Stock Sale $48,177 -1,561 -100% $30.87 0 05 May 2021 Shares held in Ethan Allen 401(K) Plan F4
transaction ETD Common Stock Options Exercise $87,291 +3,333 +16% $26.19 24,377 05 May 2021 Direct
transaction ETD Common Stock Options Exercise $302,880 +12,000 +49% $25.24 36,377 05 May 2021 Direct
transaction ETD Common Stock Sale $468,883 -15,333 -42% $30.58 21,044 05 May 2021 Direct F1

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction ETD Stock Option (right to buy) Options Exercise $0 -12,000 -100% $0.000000* 0 05 May 2021 Common Stock 12,000 $25.24 Direct F2
transaction ETD Stock Option (right to buy) Options Exercise $0 -3,333 -100% $0.000000* 0 05 May 2021 Common Stock 3,333 $26.19 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.22 to $31.07, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Security and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.
F2 The performance vested stock options granted on January 31, 2014 fully vested ratably on the 3rd, 4th, and 5th anniversary of Grant Date.
F3 The performance vested stock options granted on June 5, 2015 fully vested ratatbly on the 3rd, 4th, and 5th anniversary of Grant Date.
F4 The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.84 to $30.94, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder to the Issuer, or the staff of the Security and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.