Ethan Allen elects Bergeron, Miller and Oblak to board

The reporting persons may be deemed to beneficially own approximately 5.2% of the class, based on 25,204,416 shares outstanding as of September 11, 2026.

Available on EDGAR 11/09/2026 - 05:54 PM EST Accepted by SEC EDGAR 11/09/2026 - 05:54 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Ethan Allen Interiors Inc. (ETD) reported that director nominees Doug Bergeron, Kristine E. Miller and Steve Oblak were elected to its board at the November 4, 2026 annual meeting; final vote tabulation was delivered November 6. The Amended and Restated Group Agreement and Indemnification Agreements were terminated in connection with certification. Anna Brockway, Kristine E. Miller, Steve Oblak and Stefanie Tsen Ward are no longer members of the Schedule 13(d) group, while the reporting persons will continue joint filings to the extent required by law.

The reporting persons may be deemed a group beneficially owning 1,300,000 shares, approximately 5.2%, based on 25,204,416 shares outstanding as of September 11, 2026; each disclaims beneficial ownership of shares not directly owned. DGB Investment reported 1,050,000 shares (4.2%), and Douglas Bergeron may be deemed to beneficially own 1,275,000 shares (5.1%). The reporting persons reported no transactions in Ethan Allen shares in the past 60 days.

Key Figures

Shares beneficially owned by reporting group: 1,300,000 shares Reporting group share of class: Approximately 5.2% Shares outstanding: 25,204,416 shares +3 more

6 metrics

Shares beneficially owned by reporting group 1,300,000 shares The reporting persons may be deemed to own this aggregate amount.

Reporting group share of class Approximately 5.2% Based on 25,204,416 shares outstanding as of September 11, 2026.

Shares outstanding 25,204,416 shares As of September 11, 2026.

DGB Investment beneficial ownership 1,050,000 shares Approximately 4.2% of the class.

Douglas Bergeron deemed beneficial ownership 1,275,000 shares Approximately 5.1% of the class.

Jennifer M. Harrison beneficial ownership 25,000 shares Approximately 0.1% of the class.

Key Terms

beneficially owned, Shared Voting Power, Shared Dispositive Power, Schedule 13(d) group, +1 more

5 terms

beneficially owned regulatory

"DGB Investment beneficially owned 1,050,000 Shares"

Beneficially owned describes securities or assets where a person has the economic rights and control—such as the right to receive dividends and to direct voting—even if legal title is held in another name. Think of it like having the keys and using a car that’s registered to someone else: you get the benefits and make decisions. Investors care because beneficial ownership reveals who truly controls value and voting power, affecting corporate decisions and takeover dynamics.

Shared Voting Power regulatory

"Shared Voting Power 1,050,000.00"

Shared voting power occurs when two or more parties jointly have the right to vote or decide how a block of company shares is cast, like co-owners who must agree before moving a piece of furniture. Investors care because who controls voting rights affects board elections, major corporate decisions and takeover outcomes, and shared control can alter regulatory disclosures and the practical influence any holder has over a company’s direction and value.

Shared Dispositive Power regulatory

"Shared Dispositive Power 1,050,000.00"

Schedule 13(d) group regulatory

"no longer members of the Schedule 13(d) group"

Joint Filing Agreement regulatory

"entered into a Joint Filing Agreement"

FAQ

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

How many shares does the reporting group own in ETD?

The reporting persons may be deemed to beneficially own 1,300,000 shares, approximately 5.2% of Ethan Allen’s shares. The percentage uses 25,204,416 shares outstanding as of September 11, 2026. Each reporting person disclaims beneficial ownership of shares that person does not directly own.

Which nominees were elected to Ethan Allen’s board?

Doug Bergeron, Kristine E. Miller and Steve Oblak were elected to the board at the November 4, 2026 annual meeting, based on final vote tabulation delivered to the issuer on November 6, 2026.

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

See more from StockTitan in Google Search and AI answers. Adds StockTitan as a preferred source · opens Google

Add on Google Not now

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934

(Amendment No. 2)

ETHAN ALLEN INTERIORS INC

(Name of Issuer)

Common Stock, $0.01 par value per share

(Title of Class of Securities)

297602104

(CUSIP Number)

DOUGLAS G. BERGERON
DGB INVESTMENT, INC., 7522 Glenwild Dr.
Park City, UT, 84098
408-232-7801

ANDREW FREEDMAN, ESQ.
OLSHAN FROME WOLOSKY LLP, 1325 Avenue of the Americas
New York, NY, 10019
212-451-2300

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

11/06/2026

(Date of Event Which Requires Filing of This Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§ 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.

The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

schemaVersion:

SCHEDULE 13D

CUSIP Number(s): 297602104

1

Name of reporting person

DGB Investment, Inc.

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

WC

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 0.00
8	Shared Voting Power 1,050,000.00
9	Sole Dispositive Power 0.00
10	Shared Dispositive Power 1,050,000.00

11

Aggregate amount beneficially owned by each reporting person

1,050,000.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

4.2 %

14

Type of Reporting Person (See Instructions)

CO

SCHEDULE 13D

CUSIP Number(s): 297602104

1

Name of reporting person

Douglas Bergeron Qualified Personal Residence Trust

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

WC

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 0.00
8	Shared Voting Power 90,000.00
9	Sole Dispositive Power 0.00
10	Shared Dispositive Power 90,000.00

11

Aggregate amount beneficially owned by each reporting person

90,000.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

0.4 %

14

Type of Reporting Person (See Instructions)

OO

SCHEDULE 13D

CUSIP Number(s): 297602104

1

Name of reporting person

Bergeron Nieces and Nephews Trust

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

WC

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

DELAWARE

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 0.00
8	Shared Voting Power 135,000.00
9	Sole Dispositive Power 0.00
10	Shared Dispositive Power 135,000.00

11

Aggregate amount beneficially owned by each reporting person

135,000.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

0.5 %

14

Type of Reporting Person (See Instructions)

OO

SCHEDULE 13D

CUSIP Number(s): 297602104

1

Name of reporting person

Douglas G. Bergeron

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

AF

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 0.00
8	Shared Voting Power 1,275,000.00
9	Sole Dispositive Power 0.00
10	Shared Dispositive Power 1,275,000.00

11

Aggregate amount beneficially owned by each reporting person

1,275,000.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

5.1 %

14

Type of Reporting Person (See Instructions)

IN

SCHEDULE 13D

CUSIP Number(s): 297602104

1

Name of reporting person

Jennifer M. Harrison

2

Check the appropriate box if a member of a Group (See Instructions)

(a)
(b)

3

SEC use only

4

Source of funds (See Instructions)

PF

5

Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)

6

Citizenship or place of organization

UNITED STATES

Number of Shares Beneficially Owned by Each Reporting Person With:

7	Sole Voting Power 25,000.00
8	Shared Voting Power 0.00
9	Sole Dispositive Power 25,000.00
10	Shared Dispositive Power 0.00

11

Aggregate amount beneficially owned by each reporting person

25,000.00

12

Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)

13

Percent of class represented by amount in Row (11)

0.1 %

14

Type of Reporting Person (See Instructions)

IN

SCHEDULE 13D

Item 1.	Security and Issuer
(a)	Title of Class of Securities: Common Stock, $0.01 par value per share
(b)	Name of Issuer: ETHAN ALLEN INTERIORS INC
(c)	Address of Issuer's Principal Executive Offices: 25 LAKE AVENUE EXT., DANBURY, CONNECTICUT , 06811.
Item 2.	Identity and Background
(a)	Item 2(a) is hereby amended to add the following: According to the voting results from the 2026 annual meeting of stockholders of the Issuer held on November 4, 2026 (the "2026 Annual Meeting"), as described in Item 4 below, DGB Investment's director nominees, Doug Bergeron, Kristine E. Miller and Steve Oblak, were elected to the Board of Directors of the Issuer (the "Board"). Accordingly, the Amended and Restated Group Agreement (as defined in Amendment No. 1 to the Schedule 13D) has been terminated and each of Anna Brockway, Kristine E. Miller, Steve Oblak, and Stefanie Tsen Ward is no longer a member of the Schedule 13(d) group. The Reporting Persons will continue filing as a group statements on Schedule 13D with respect to their beneficial ownership of securities of the Issuer to the extent required by applicable law. Each of the Reporting Persons is party to the Joint Filing Agreement defined and described in Item 6 below.
Item 4.	Purpose of Transaction
	Item 4 is hereby amended to add the following: According to the final vote tabulation delivered to the Issuer by the independent inspector of election on November 6, 2026 in connection with the matters that were submitted to a vote at the 2026 Annual Meeting, Mr. Bergeron, Kristine E. Miller and Steve Oblak were elected to the Issuer's board of directors by the Issuer's stockholders. In connection with the certification of the voting results of the 2026 Annual Meeting, the Amended and Restated Group Agreement (as defined in Amendment No. 1 to the Schedule 13D) has been terminated and each of Anna Brockway, Kristine E. Miller, Steve Oblak, and Stefanie Tsen Ward are no longer members of the Schedule 13(d) group. The Reporting Persons will continue filing statements on Schedule 13D as a group with respect to their beneficial ownership of securities of the Issuer to the extent required by applicable law. Each of such Reporting Persons is party to the Joint Filing Agreement defined and described in Item 6 below.
Item 5.	Interest in Securities of the Issuer
(a)	Item 5(a) is hereby amended and restated as follows: The aggregate percentage of Shares reported beneficially owned by the Reporting Persons is based upon 25,204,416 Shares outstanding as of September 11, 2026, which is the total number of Shares outstanding as reported in the Issuer's definitive proxy statement on Schedule 14A filed with the Securities and Exchange Commission on September 24, 2026. A. DGB Investment As of the date hereof, DGB Investment beneficially owned 1,050,000 Shares. Percentage: Approximately 4.2% B. Residence Trust As of the date hereof, Residence Trust beneficially owned 90,000 Shares. Percentage: Approximately 0.4% C. Nieces and Nephews Trust As of the date hereof, Nieces and Nephews Trust beneficially owned 135,000 Shares. Percentage: Approximately 0.5% D. Mr. Bergeron Mr. Bergeron, as President and sole stockholder of DGB Investment, may be deemed to beneficially own the 1,050,000 shares directly beneficially owned by DGB Investment. As trust advisor for each of the Residence Trust and the Nieces and Nephews Trust, Mr. Bergeron has sole voting and dispositive power over the Shares held in the Residence Trust and the Nieces and Nephews Trust and thus may be deemed to beneficially own the 90,000 Shares directly beneficially owned by the Residence Trust and the 135,000 Shares directly beneficially owned by the Nieces and Nephews Trust. Percentage: Approximately 5.1% E. Ms. Harrison As of the date hereof, Ms. Harrison beneficially owned 25,000 Shares. Percentage: Approximately 0.1% Each Reporting Person may be deemed to be a member of a "group" with the other Reporting Persons for the purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended, and such group may be deemed to beneficially own the 1,300,000 Shares owned in the aggregate by all of the Reporting Persons, constituting approximately 5.2% of the Shares outstanding. Each Reporting Person disclaims beneficial ownership of the Shares that he, she or it does not directly own.
(c)	Item 5(c) is hereby amended and restated as follows: There have been no transactions in the Shares of the Issuer by the Reporting Persons in the past sixty days.
Item 6.	Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer
	Item 6 is hereby amended to add the following: In connection with the certification of the voting results of the 2026 Annual Meeting, the Amended and Restated Group Agreement and the Indemnification Agreements have been terminated. On November 6, 2026, the Reporting Persons entered into a Joint Filing Agreement in which the Reporting Persons agreed to the joint filing on behalf of each of them of statements on Schedule 13D with respect to the securities of the Issuer to the extent required by applicable law. The Joint Filing Agreement is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 7.	Material to be Filed as Exhibits.
	Item 7 is hereby amended to add the following exhibits: 99.1 - Joint Filing Agreement, dated November 9, 2026.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

DGB Investment, Inc.

Signature:	/s/ Douglas G. Bergeron
Name/Title:	Douglas G. Bergeron, President
Date:	11/09/2026

Douglas Bergeron Qualified Personal Residence Trust

Signature:	/s/ Douglas G. Bergeron
Name/Title:	Douglas G. Bergeron, Trust Advisor
Date:	11/09/2026

Bergeron Nieces and Nephews Trust

Signature:	/s/ Douglas G. Bergeron
Name/Title:	Douglas G. Bergeron, Trust Advisor
Date:	11/09/2026

Douglas G. Bergeron

Signature:	/s/ Douglas G. Bergeron
Name/Title:	Douglas G. Bergeron
Date:	11/09/2026

Jennifer M. Harrison

Signature:	/s/ Jennifer M. Harrison
Name/Title:	Jennifer M. Harrison
Date:	11/09/2026