-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UhyqHt7vcxCenXeMoacKnT0ijHMzti3STTMHz2IvlIL7BbW/zj9pTYI3BF+DxWlA q+rz9CGc4Bb0ErSOA9ecHw== 0000902561-02-000559.txt : 20021112 0000902561-02-000559.hdr.sgml : 20021111 20021112120251 ACCESSION NUMBER: 0000902561-02-000559 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020930 ITEM INFORMATION: FILED AS OF DATE: 20021112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ETHAN ALLEN INTERIORS INC CENTRAL INDEX KEY: 0000896156 STANDARD INDUSTRIAL CLASSIFICATION: WOOD HOUSEHOLD FURNITURE, (NO UPHOLSTERED) [2511] IRS NUMBER: 061275288 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-11692 FILM NUMBER: 02816144 BUSINESS ADDRESS: STREET 1: ETHAN ALLEN DR STREET 2: PO BOX 1966 CITY: DANBURY STATE: CT ZIP: 06811 BUSINESS PHONE: 2037438000 8-K 1 form8-k_sison111202.txt FORM 8-K -- CURRENT REPORT SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2002 ETHAN ALLEN INTERIORS INC. --------------------------------------------------------- (Exact name of registrant as specified in its charter) DELAWARE 1-11692 06-1275288 - ------------------------------- ------------------------ ------------------- (State or other jurisdiction of (Commission File Number) (I.R.S. Employer incorporation) Identification No.) ETHAN ALLEN DRIVE DANBURY, CT 06811 - ----------------------------------------- ---------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code: (203) 743-8000 NOT APPLICABLE -------------------------------------------------------------- (Former name or former address, if changed since last report) INFORMATION TO BE INCLUDED IN REPORT ITEM 9. REGULATION FD DISCLOSURE. On November 12, 2002, Ethan Allen Interiors Inc. filed its quarterly report on Form 10-Q for the quarter ended September 30, 2002 with the Securities and Exchange Commission. Accompanying such report was a certification of Ethan Allen Interiors Inc.'s Chief Executive Officer and Chief Financial Officer, pursuant to 18 U.S.C. Section 1350 adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and attached hereto as Exhibit 99.1. -2- SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. ETHAN ALLEN INTERIORS INC. Date: November 12, 2002 By: /s/ M. Farooq Kathwari --------------------------------- M. Farooq Kathwari Chairman, Chief Executive Officer and Director -3- EXHIBIT INDEX Exhibit Number Description - -------- ------------ 99.1 Certification pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 -4- EX-99 3 form8k_ex99-1sision111202.txt EXHIBIT 99.1 -- CERTIFICATIONS EXHIBIT 99.1 CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER AS REQUIRED BY SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 I, M. Farooq Kathwari, hereby certify that the September 30, 2002 quarterly report on Form 10-Q as filed by Ethan Allen Interiors Inc. (the "Company"), which contains the Company's financial statements, fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)) and that information contained in such quarterly report fairly presents, in all material respects, the financial condition and results of operations of the Company. /s/ M. Farooq Kathwari Chairman, Chief Executive - --------------------------------------- Officer and Director (M. Farooq Kathwari) November 12, 2002 CERTIFICATION OF PRINCIPAL FINANCIAL OFFICER AS REQUIRED BY SECTION 906 OF THE SARBANES-OXLEY ACT OF 2002 I, Edward D. Teplitz, hereby certify that the September 30, 2002 quarterly report on Form 10-Q as filed by Ethan Allen Interiors Inc. (the "Company"), which contains the Company's financial statements, fully complies with the requirements of section 13(a) or 15(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78m or 78o(d)) and that information contained in such quarterly report fairly presents, in all material respects, the financial condition and results of operations of the Company. /s/ Edward D. Teplitz Chief Financial Officer - -------------------------------------- (Edward D. Teplitz) November 12, 2002 -----END PRIVACY-ENHANCED MESSAGE-----