KATHWARI M FAROOQ

SEC source: 0001437749-24-023083 · rdgdoc.xml · nonDerivative · entry 6

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · 2020 Trust FBO Samantha Maxime Van Puyenbroeck-Kathwari

Disclosed balance after: 24,650

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on July 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-023083 · rdgdoc.xml · nonDerivative · entry 5

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · 2020 Trust FBO Zavier Irfan Kathwari

Disclosed balance after: 24,650

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on July 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-023083 · rdgdoc.xml · nonDerivative · entry 4

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · 2020 Trust FBO Kolhai Gibran Kathwari

Disclosed balance after: 24,650

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on July 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-023083 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,715,193

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on July 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-020800 · rdgdoc.xml · nonDerivative · entry 5

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · 2020 Trust FBO Samantha Maxime Van Puyenbroeck-Kathwari

Disclosed balance after: 24,825

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on June 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-020800 · rdgdoc.xml · nonDerivative · entry 4

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · 2020 Trust FBO Gabriel Alexander Van Puyenbroeck-Kathwari

Disclosed balance after: 24,825

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on June 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-020800 · rdgdoc.xml · nonDerivative · entry 3

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · 2020 Trust FBO Zavier Irfan Kathwari

Disclosed balance after: 24,825

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on June 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-020800 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Indirect · 2020 Trust FBO Kolhai Gibran Kathwari

Disclosed balance after: 24,825

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on June 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-020800 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,725,193

F1 · kind: This transaction was pursuant to a Rule 10b5-1 stock selling plan adopted on March 14, 2024 by M. Farooq Kathwari, with an effective date of June 17, 2024. This trading plan was previously disclosed in the Issuer's Quarterly Report on Form 10-Q filed on April 24, 2024. In addition, on June 17, 2024, 8,000 shares of Ethan Allen common stock were sold by the Irfan Kathwari Foundation (all of whose shares Mr. Kathwari is deemed to beneficially own, but over which he has no reportable pecuniary interest) pursuant to the above-referenced Rule 10b5-1 stock selling plan.

SEC source: 0001437749-24-003629 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,735,193

F1 · shares: These securities represent bona fide gifts by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on February 8, 2024, the date the gifting of shares were transacted.

SEC source: 0001437749-23-025058 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,785,193

F2 · shares: Represents the number of shares withheld at vesting to cover required tax withholding. The fair market value of the Ethan Allen Interiors Inc. common stock, used for the purposes of calculating the number of shares to be withheld, was the closing price of Ethan Allen Interiors Inc. common stock as reported on August 31, 2023.

SEC source: 0001437749-23-025058 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,844,953

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the number of performance-based stock units, previously granted on August 12, 2020, that were earned and subsequently vested and issued on August 31, 2023.

SEC source: 0001437749-23-024682 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,763,703

F1 · shares: These securities represent bona fide gifts by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on August 23, 2023, the date the gifting of shares were transacted.

SEC source: 0001437749-23-024167 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,796,703

F1 · shares: These securities represent a bona fide gift by the reporting person to a non-related party.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on August 17, 2023, the date the gifting of shares were transacted.

SEC source: 0001437749-23-023055 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,797,703

F2 · shares: Represents the number of shares withheld at vesting to cover required tax withholding. The fair market value of the Ethan Allen Interiors Inc. common stock, used for the purposes of calculating the number of shares to be withheld, was the closing price of Ethan Allen Interiors Inc. common stock as reported on August 9, 2023.

SEC source: 0001437749-23-023055 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,801,611

F1 · shares: Grant of restricted stock units under the Ethan Allen Interiors Inc. Stock Incentive Plan; these restricted stock units vest ratably over three years, whereby one-third of the total number of units granted vest each year on the anniversary of the grant date, commencing on August 8, 2024.

SEC source: 0001437749-23-007665 · rdgdoc.xml · nonDerivative · entry 4

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · The Irfan Kathwari Foundation

Disclosed balance after: 635,776

F1 · shares: These securities represent bona fide gifts by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on March 21, 2023, the date the gifting of shares were transacted.

SEC source: 0001437749-23-007665 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,790,747

F1 · shares: These securities represent bona fide gifts by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on March 21, 2023, the date the gifting of shares were transacted.

SEC source: 0001437749-22-028348 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · The Irfan Kathwari Foundation

Disclosed balance after: 595,776

F1 · shares: These securities represent bona fide gifts by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on December 1, 2022, the date the gifting of shares were transacted.

SEC source: 0001437749-22-028348 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,830,747

F1 · shares: These securities represent bona fide gifts by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on December 1, 2022, the date the gifting of shares were transacted.

SEC source: 0001437749-22-021823 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,895,747

F2 · shares: Represents the number of shares withheld at vesting to cover required tax withholding. The fair market value of the Ethan Allen Interiors Inc. common stock, used for the purposes of calculating the number of shares to be withheld, was the closing price of Ethan Allen Interiors Inc. common stock as reported on September 1, 2022.

SEC source: 0001437749-22-021823 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,916,244

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the number of performance-based restricted stock units, previously granted on August 5, 2019, that were earned and subsequently vested and issued on September 1, 2022.

SEC source: 0001437749-22-020371 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,884,609

F1 · shares: Represents the number of shares withheld at vesting to cover required tax withholding. The fair market value of the Ethan Allen Interiors Inc. common stock, used for the purposes of calculating the number of shares to be withheld, was the closing price of Ethan Allen Interiors Inc. common stock as reported on August 12, 2022.

SEC source: 0001437749-22-020186 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,892,708

F1 · shares: Grant of restricted stock units under the Ethan Allen Interiors Inc. Stock Incentive Plan; these restricted stock units vest ratably over three years, whereby one-third of the total number of units granted vest each year on the anniversary of the grant date, commencing on August 9, 2023.

SEC source: 0001437749-21-028910 · rdgdoc.xml · nonDerivative · entry 3

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · The Irfan Kathwari Foundation

Disclosed balance after: 455,776

F3 · shares: These securities represent bona fide gifts by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on December 16, 2021, the date the gifting of shares were transacted.

SEC source: 0001437749-21-028910 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Grandchildren's trust accounts

Disclosed balance after: 100,000

F1 · shares: These securities represent bona fide gifts by the reporting person to four irrevocable trusts held in the names of the reporting person's grandchildren as beneficiaries. Shares are equally held in each of the four irrevocable trusts, of which the reporting person's spouse and other members of his family are trustees.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on December 16, 2021, the date the gifting of shares were transacted.

SEC source: 0001437749-21-028910 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,951,769

F1 · shares: These securities represent bona fide gifts by the reporting person to four irrevocable trusts held in the names of the reporting person's grandchildren as beneficiaries. Shares are equally held in each of the four irrevocable trusts, of which the reporting person's spouse and other members of his family are trustees.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on December 16, 2021, the date the gifting of shares were transacted.

SEC source: 0001437749-21-025333 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · The Irfan Kathwari Foundation

Disclosed balance after: 520,776

F1 · shares: These securities represent a bona fide charitable gift by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on November 2, 2021, the date the gifting of shares were transacted.

SEC source: 0001437749-21-025333 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,946,769

F1 · shares: These securities represent a bona fide charitable gift by the reporting person to The Irfan Kathwari Foundation.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on November 2, 2021, the date the gifting of shares were transacted.

SEC source: 0001437749-21-022354 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Grandchildren's trust accounts

Disclosed balance after: 40,000

F1 · shares: These securities represent bona fide gifts by the reporting person to four irrevocable trusts held in the names of the reporting person's grandchildren as beneficiaries. Shares are equally held in each of the four irrevocable trusts, of which the reporting person's spouse and other members of his family are trustees.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on September 15, 2021, the date the gifting of shares were transacted.

SEC source: 0001437749-21-022354 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,021,769

F1 · shares: These securities represent bona fide gifts by the reporting person to four irrevocable trusts held in the names of the reporting person's grandchildren as beneficiaries. Shares are equally held in each of the four irrevocable trusts, of which the reporting person's spouse and other members of his family are trustees.

F2 · price: The fair market value of the common stock was the closing price of Ethan Allen Interiors Inc. common stock as reported on September 15, 2021, the date the gifting of shares were transacted.

SEC source: 0001437749-21-021101 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,061,769

F2 · shares: Represents the number of shares withheld at vesting to cover required tax withholding. The fair market value of the Ethan Allen Interiors Inc. common stock, used for the purposes of calculating the number of shares to be withheld, was the closing price of Ethan Allen Interiors Inc. common stock as reported on August 26, 2021.

SEC source: 0001437749-21-021101 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,081,076

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the number of performance-based restricted stock units, previously granted on July 25, 2018, that were earned and subsequently vested and issued on August 26, 2021.

SEC source: 0001437749-21-019922 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,051,278

F1 · shares: Represents the number of shares withheld at vesting to cover required tax withholding. The fair market value of the Ethan Allen Interiors Inc. common stock, used for the purposes of calculating the number of shares to be withheld, was the closing price of Ethan Allen Interiors Inc. common stock as reported on August 12, 2021.

SEC source: 0001437749-20-025628 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · The Irfan Kathwari Foundation

Disclosed balance after: 445,776

F2 · shares: Represents bonafide charitable gift received from direct holdings.

F3 · price: The price reported in Column 4 is based on the volume weighted average price (VWAP) of Ethan Allen common stock on December 16, 2020, the date of the gift.

SEC source: 0001437749-20-025628 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,059,377

F1 · shares: Represents bonafide charitable gift to The Irfan Kathwari Foundation.

F3 · price: The price reported in Column 4 is based on the volume weighted average price (VWAP) of Ethan Allen common stock on December 16, 2020, the date of the gift.

SEC source: 0001437749-20-022409 · rdgdoc.xml · derivative · entry 5

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires 2021-10-01

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: These stock options vested and became exercisable 20% per year over five years beginning on June 30, 2012.

SEC source: 0001437749-20-022409 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,089,377

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the exercise of 120,000 stock options, which were granted to the reporting person under the Ethan Allen Interiors Inc. Stock Incentive Plan on October 1, 2011.

SEC source: 0001437749-20-018064 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,969,377

F1 · shares: Grant of restricted stock units under the Ethan Allen Interiors Inc. Stock Incentive Plan; these restricted stock units vest ratably over two years, whereby 50% of the total number of shares issuable under the grant vest each year on the anniversary of the grant date, commencing on August 12, 2021.

SEC source: 0001437749-20-010775 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,944,377

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.61 to $10.00. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

SEC source: 0001437749-20-010465 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,934,377

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.65 to $9.87. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

SEC source: 0001437749-19-024731 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · The Irfan Kathwari Foundation

Disclosed balance after: 415,776

F2 · shares: Represents bonafide charitable gift received from direct holdings.

F3 · price: The price reported in Column 4 is based on the volume weighted average price (VWAP) of Ethan Allen common stock on December 20, 2019, the date of the gift.

SEC source: 0001437749-19-024731 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,904,377

F1 · shares: Represents bonafide charitable gift to The Irfan Kathwari Foundation.

F3 · price: The price reported in Column 4 is based on the volume weighted average price (VWAP) of Ethan Allen common stock on December 20, 2019, the date of the gift.

SEC source: 0001437749-19-012441 · rdgdoc.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · The Irfan Kathwari Foundation

Disclosed balance after: 365,776

F2 · shares: Represents bonafide charitable gift received from direct holdings.

F3 · price: The price reported in Column 4 is based on the average of the high and low price of Ethan Allen common stock on June 19, 2019, the date of the gift.

SEC source: 0001437749-19-012441 · rdgdoc.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,954,377

F1 · shares: Represents bonafide charitable gift to The Irfan Kathwari Foundation.

F3 · price: The price reported in Column 4 is based on the average of the high and low price of Ethan Allen common stock on June 19, 2019, the date of the gift.

SEC source: 0001179110-18-012633 · edgar.xml · nonDerivative · entry 1

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,979,377

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.44 to $19.57, inclusive. The reporting person undertakes to provide to the Company any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

SEC source: 0001104659-18-058362 · a4.xml · derivative · entry 6

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 40,000 shares

Expires 2018-11-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Represents the exercise of 40,000 stock options, of which 50,000 were granted to the reporting person on November 11, 2008. The stock options vested and became exercisable 25% per year over four years starting one year from the date of grant.

SEC source: 0001104659-18-058362 · a4.xml · nonDerivative · entry 3

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,965,287

F3 · kind: Represents shares of common stock sold in the open market on September 21, 2018, a portion of the proceeds of which was used to pay the exercise price of the stock options.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $21.40 to $21.88, inclusive. The reporting person undertakes to provide to the Company any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

SEC source: 0001104659-18-058362 · a4.xml · nonDerivative · entry 2

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,003,169

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: Represents the exercise of 40,000 stock options, of which 50,000 were granted to the reporting person on November 11, 2008. The stock options vested and became exercisable 25% per year over four years starting one year from the date of grant.

SEC source: 0001179110-18-012276 · edgar.xml · nonDerivative · entry 3

KATHWARI M FAROOQ · CIK 0001217614 · Director · Chairman, President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,969,377

F4 · kind: Disposition of shares to cover exercise price and tax liabilities incurred to exercise options as set forth in Footnote (3) above.

F1 · balance_after: This Form 4/A is being filed to correct a scrivener's error in the amount of securities beneficially owned after the reported transaction on the original Form 4 filed on September 25, 2018.