SEC Form 4 · accession 0000034563-17-000114
FARMER BROTHERS CO · FARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeanne Farmer Grossman
Director
Period of report
Nov 27, 2017
Accepted (ET)
Nov 29, 2017 · 6:21 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000034563
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $1.00 par valueF1,F2 | Nov 27, 2017 | S | 1,524 | $33.42 | D | 1,187,712 | I | Trusts |
| Common Stock, $1.00 par valueF3,F2 | Nov 28, 2017 | S | 5,613 | $33.59 | D | 1,182,099 | I | Trusts |
| Common Stock, $1.00 par valueF4,F2 | Nov 29, 2017 | S | 3,623 | $34.41 | D | 1,178,476 | I | Trusts |
| Common Stock, $1.00 par value | holding | — | — | — | 16,973 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Open market sale. This transaction was executed in multiple trades at prices ranging from $33.30 to $33.50; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. The reporting person continues to meet the Company's stock ownership guidelines.
- F2Reflects the reporting person's beneficial ownership of shares of Common Stock held in various family trusts of which the reporting person is the sole trustee, co-trustee, beneficiary, and/or settlor, as reported in the issuer's Definitive Proxy Statement on Schedule 14A filed with the SEC on October 27, 2017, after giving effect to the reported transaction.
- F3Open market sale. This transaction was executed in multiple trades at prices ranging from $33.25 to $33.90; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. The reporting person continues to meet the Company's stock ownership guidelines
- F4Open market sale. This transaction was executed in multiple trades at prices ranging from $34.25 to $34.70; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. The reporting person continues to meet the Company's stock ownership guidelines.