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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Grossman Jeanne Farmer FARMER BROS. CO. 1912 FARMER BROTHERS DRIVE NORTHLAKE, TX 76262 |
X |
/s/ Thomas J. Mattei Jr., Attorney-In-Fact for Jeanne Farmer Grossman | 01/09/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | These 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. |
(2) | The number of shares of Common Stock beneficially owned indirectly by the Reporting Person did not change as the result of these inter-trust transfers. |
(3) | Reflects 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. |