SEC Form 4 · accession 0000034563-18-000003
FARMER BROTHERS CO · FARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Jeanne Farmer Grossman
Director
Period of report
Jan 5, 2018
Accepted (ET)
Jan 9, 2018 · 8:07 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 valueF2,F3 | Jan 5, 2018 | J | 732,947 | $0.00 | D | 1,169,236 | I | Trusts |
| Common Stock, $1.00 par valueF2,F3 | Jan 5, 2018 | J | 732,947 | $0.00 | A | 1,169,236 | I | Trusts |
| Common Stock, $1.00 par value | holding | — | — | — | 18,874 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were transferred pursuant to court order, in a series of transactions not involving a sale and all having an effective date of January 5, 2018, between certain of the trusts referenced in column 7 (the "Trusts"), as follows: (i) an aggregate of 12,120 shares were transferred from Trusts of which Reporting Person was then a co-trustee and not a beneficiary to Trusts of which Reporting Person is the sole trustee and not a beneficiary; (ii) an aggregate of 489,640 shares were transferred from Trusts of which Reporting Person was then the sole beneficiary and not a trustee to Trusts of which Reporting Person is the sole beneficiary and the sole trustee; and (iii) an aggregate of 231,187 shares were transferred from Trusts of which Reporting Person was then a beneficiary and not a trustee to Trusts of which Reporting Person is the sole beneficiary and the sole trustee.
- F2The number of shares of Common Stock beneficially owned indirectly by the Reporting Person did not change as the result of these inter-trust transfers.
- F3Reflects 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 subsequent transactions by the Reporting Person including the reported transaction.