SEC Form 4/A · accession 0000034563-18-000021
FARMER BROTHERS CO · FARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Jeanne Farmer Grossman
Director · 10% Owner
Period of report
Jan 5, 2018
Accepted (ET)
Feb 26, 2018 · 9:38 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 | Jan 5, 2018 | J | 720,827 | $0.00 | A | 1,890,063 | 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
- F1Pursuant to the terms of a court-approved settlement agreement, having an effective date of January 5, 2018, entered into among Reporting Person and certain members of her family relating to a number of family trusts, Reporting Person may be deemed to have acquired, indirectly through the trusts referenced in column 7, in a series of transactions not involving a purchase or sale (the "Trust Transactions"), beneficial ownership of an additional 720,827 shares of the Issuer's Common Stock.
- F2Reflects all of the shares of Issuer's Common Stock owned directly by various family trusts of which 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 subsequent transactions by Reporting Person, including the Trust Transactions. Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest threin.
Remarks
This Form 4 amends in its entirety the Form 4 filed by Reporting Person on January 9, 2018 in order to accurately reflect the aggregate number of shares of the Issuer's Common Stock that Reporting Person may be deemed to beneficially own indirectly as a result of the Trust Transactions.