SEC Form 4 · accession 0001209191-15-085983
FARMER BROTHERS CO · FARM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard F Farmer
10% Owner
Period of report
Dec 15, 2015
Accepted (ET)
Dec 17, 2015 · 9:14 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 | Dec 15, 2015 | S | 258 | $31.95 | D | 3,329,421 | I | TRUSTEE |
| Common Stock, $1.00 par valueF3,F1,F2 | Dec 16, 2015 | S | 11,000 | $31.9832 | D | 3,318,421 | I | TRUSTEE |
| Common Stock, $1.00 par valueF1,F2 | Dec 17, 2015 | S | 562 | $31.95 | D | 3,317,859 | I | TRUSTEE |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Reflects the Reporting Person's beneficial ownership of shares of Common Stock as a member of the Farmer Group (as defined in Schedule 13D/A filed with the SEC on September 21, 2006), as reported in the Company's Definitive Proxy Statement on Schedule 14A filed with the SEC on October 28, 2015, after giving effect to the reported transaction and the sale transactions reported by the Reporting Person in his Form 4 relating to the Common Stock filed with the SEC on December 10, 2015.
- F2The shares of Common Stock were sold directly by a trust of which the Reporting Person is the sole settlor, trustee and beneficiary. This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person.
- F3This transaction was executed in multiple trades at prices ranging from $31.95 to $32.10; 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 these trades were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.