Filing Details
- Accession Number:
- 0001209191-16-155199
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-12-14 17:01:40
- Reporting Period:
- 2016-12-12
- Filing Date:
- 2016-12-14
- Accepted Time:
- 2016-12-14 17:01:40
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 34563 | Farmer Brothers Co | FARM | Miscellaneous Food Preparations & Kindred Products (2090) | 950725980 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1259767 | H Michael Keown | Farmer Bros. Co. 13601 North Freeway, Suite 200 Fort Worth TX 76177 | President, Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock, $1.00 Par Value | Acquisiton | 2016-12-12 | 12,000 | $6.96 | 59,242 | No | 4 | M | Direct | |
| Common Stock, $1.00 Par Value | Disposition | 2016-12-12 | 3,576 | $34.65 | 55,666 | No | 4 | S | Direct | |
| Common Stock, $1.00 Par Value | Disposition | 2016-12-12 | 8,424 | $35.98 | 47,242 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Stock Option right to buy) | Disposition | 2016-12-12 | 12,000 | $0.00 | 12,000 | $6.96 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 288,663 | 2019-05-11 | No | 4 | M | Direct |
Footnotes
- Exercise of non-qualified stock option granted on May 11, 2012 under the Farmer Bros. Co. 2007 Omnibus Plan prior to its amendment andrestatement in the form of the Farmer Bros. Co. Amended and Restated 2007 Long-Term Incentive Plan. The option vested pursuant to a threeyear vesting schedule whereby one-third of the total number of shares issuable under the option became exercisable each year on 5/11/2013,5/11/2014 and 5/11/2015.
- This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
- Open market sale of shares from 12/12/2016 stock option exercise, with a portion of the proceeds delivered to the issuer for payment of theexercise price of the option. This transaction was executed in multiple trades at prices ranging from $34.15 to $35.15; the price reportedabove reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number ofshares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Thereporting person continues to meet the Company's stock ownership guidelines.
- Open market sale of shares from 12/12/2016 stock option exercise, with a portion of the proceeds delivered to the issuer for payment of theexercise price of the option. This transaction was executed in multiple trades at prices ranging from $35.15 to $36.15; the price reportedabove reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number ofshares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Thereporting person continues to meet the Company's stock ownership guidelines.
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