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  4. [Form 4] ETHAN ALLEN INTERIORS INC Insider Trading Activity

Ethan Allen EVP granted 990 shares, 354 withheld

ETD EVP Retail Division Amy Phillips received vested performance shares, with a portion withheld to satisfy tax obligations.

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

ETHAN ALLEN INTERIORS INC (ETD) reported that executive vice president of the Retail Division Amy Phillips had 990 shares of common stock issued to her on September 11, 2026 upon the vesting of previously granted performance-based stock units. On the same date, 354 shares were withheld to cover required tax withholding, using the $21.93 closing price of Ethan Allen Interiors Inc. common stock as the fair market value for that calculation. No Rule 10b5-1 trading plan is reported for these transactions.

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Negative

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Insider Phillips Amy
Role EVP, Retail Division
Type Security Shares Price Value
Exercise Common Stock F1 990 $21.93 $22K
Tax Withholding Common Stock F2 354 $21.93 $8K
Holdings After Transaction: Common Stock — 23,113 shares (Direct)
Footnotes (2)
  1. F1. Represents the number of performance-based stock units, previously granted on August 8, 2023, that were earned and subsequently vested and issued on September 11, 2026.
  2. F2. 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 11, 2026.
Shares issued from performance-based stock units 990 shares Earned, vested, and issued to Amy Phillips on September 11, 2026
Shares withheld for tax withholding 354 shares Withheld at vesting to cover required tax withholding on September 11, 2026
Fair market value per share $21.93 per share Closing price of Ethan Allen Interiors Inc. common stock on September 11, 2026 used for tax withholding calculation
Original grant date of performance-based stock units August 8, 2023 Grant date of performance-based stock units that vested into 990 shares
Tax withholding transaction shares 354 shares Reported as payment of tax liability by delivering or withholding securities
performance-based stock units financial
"Represents the number of performance-based stock units, previously granted on August 8, 2023"
Performance-based stock units are company promises to deliver shares or cash to employees or executives only if the business hits specific financial or operational goals over a set period. Like a bonus that only pays out when certain milestones are reached, they link pay to company performance and matter to investors because they can dilute the share count, affect reported earnings when they vest, and signal how management is being incentivized.
tax withholding financial
"Represents the number of shares withheld at vesting to cover required tax withholding."
Tax withholding is the practice of taking a portion of a payment—such as wages, dividends, or sale proceeds—before it reaches the recipient and sending that portion to the tax authority as an advance on the recipient’s eventual tax bill. For investors it matters because withholding reduces immediate cash received and affects after‑tax returns, estimated tax payments, and whether you may owe more or receive a refund when taxes are finally calculated, like having a small automatic savings set aside for your tax bill.
fair market value financial
"The fair market value of the Ethan Allen Interiors Inc. common stock, used for the purposes"
The price a willing buyer and a willing seller would agree on for an asset or security when neither is under pressure and both have access to the same information. Think of it as the market’s neutral estimate of what something is worth, like the price two neighbors would settle on for a car after comparing similar listings. Investors care because fair market value guides buying and selling decisions, tax reporting, portfolio valuation, and how accurately company assets are reflected in financial statements.
closing price financial
"was the closing price of Ethan Allen Interiors Inc. common stock as reported"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider equity award activity did ETD disclose for Amy Phillips?
ETD disclosed that Amy Phillips had 990 performance-based stock units earned, vested, and issued as common stock on September 11, 2026, from a grant originally made on August 8, 2023.

How many ETD shares were withheld for taxes in this Form 4?
The filing reports that 354 shares of Ethan Allen Interiors Inc. common stock were withheld at vesting to cover required tax withholding for Amy Phillips’s equity award.

What price per share was used to calculate ETD’s tax withholding shares?
The fair market value used to calculate the number of ETD shares withheld for taxes was the $21.93 closing price of Ethan Allen Interiors Inc. common stock on September 11, 2026.

Were Amy Phillips’s ETD transactions under a Rule 10b5-1 trading plan?
No. The Form 4 indicates that no Rule 10b5-1 trading plan is reported in connection with these transactions.

When were the performance-based stock units for ETD originally granted?
The performance-based stock units that vested into 990 ETD shares on September 11, 2026 were originally granted on August 8, 2023.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →
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SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Phillips Amy
(Last)(First)(Middle)
25 LAKE AVENUE EXT.
(Street)
DANBURY CONNECTICUT 06811
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
ETHAN ALLEN INTERIORS INC [ ETD ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
EVP, Retail Division
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
09/11/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock09/11/2026M990(1)A$21.9323,467D
Common Stock09/11/2026F354(2)D$21.9323,113D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. Represents the number of performance-based stock units, previously granted on August 8, 2023, that were earned and subsequently vested and issued on September 11, 2026.
2. 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 11, 2026.
/s/ Matthew J. McNulty as attorney-in-fact for Amy Phillips09/11/2026
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

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