Filing Details
- Accession Number:
- 0001181431-14-007393
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-18 16:46:18
- Reporting Period:
- 2014-02-13
- Filing Date:
- 2014-02-18
- Accepted Time:
- 2014-02-18 16:46:18
- 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 |
|---|---|---|---|---|---|---|---|
| 1500811 | A Mark Harding | Farmer Bros.co. 20333 South Normandie Ave. Torrance CA 90502 | Sr. V.p. Operations | No | 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 | 2014-02-13 | 9,537 | $18.41 | 29,369 | No | 4 | M | Direct | |
| Common Stock, $1.00 Par Value | Acquisiton | 2014-02-13 | 12,138 | $18.03 | 41,507 | No | 4 | M | Direct | |
| Common Stock, $1.00 Par Value | Acquisiton | 2014-02-13 | 20,000 | $9.63 | 61,507 | No | 4 | M | Direct | |
| Common Stock, $1.00 Par Value | Acquisiton | 2014-02-13 | 20,000 | $10.82 | 81,507 | No | 4 | M | Direct | |
| Common Stock, $1.00 Par Value | Disposition | 2014-02-13 | 61,675 | $20.92 | 19,832 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | Direct | |
| No | 4 | M | 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 | 2014-02-13 | 9,537 | $0.00 | 9,537 | $18.41 |
| Common Stock | Stock option (right to buy) | Disposition | 2014-02-13 | 12,138 | $0.00 | 12,138 | $18.03 |
| Common Stock | Stock option (right to buy) | Disposition | 2014-02-13 | 20,000 | $0.00 | 20,000 | $9.63 |
| Common Stock | Stock option (right to buy) | Disposition | 2014-02-13 | 20,000 | $0.00 | 20,000 | $10.82 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 88,433 | 2016-12-10 | No | 4 | M | Direct | |
| 76,295 | 2017-12-09 | No | 4 | M | Direct | |
| 56,295 | 2018-05-19 | No | 4 | M | Direct | |
| 36,295 | 2019-02-13 | No | 4 | M | Direct |
Footnotes
- Open market sale of shares from 2/13/2014 stock option exercises, with a porton of the proceeds delivered to the issuer for payment of the exercise price of the options. This transaction was executed in multiple trades at prices ranging from $20.75 to $21.51; 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 the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. The reporting person continues to meet the Company's stock ownership guidelines.
- Exercise of non-qualified stock option granted on 12/10/2009 under the Farmer Bros. Co. 2007 Omnibus Plan prior to its amendment and restatement in the form of the Farmer Bros. Co. Amended and Restated 2007 Long-Term Incentive Plan. The options vested pursuant to a three year vesting schedule whereby one-third of the total number of shares issuable under the option became exercisable each year on 12/10/2010, 12/10/2011 and 12/10/2012.
- Exercise of non-qualified stock option granted on 12/9/2010 under the Farmer Bros. Co. 2007 Omnibus Plan prior to its amendment and restatement in the form of the Farmer Bros. Co. Amended and Restated 2007 Long-Term Incentive Plan. The options vested pursuant to a three year vesting schedule whereby one-third of the total number of shares issuable under the option became exercisable each year on 12/9/2011, 12/9/2012 and 12/9/2013.
- Exercise of non-qualified stock option granted on 5/19/2011 under the Farmer Bros. Co. 2007 Omnibus Plan prior to its amendment and restatement in the form of the Farmer Bros. Co. Amended and Restated 2007 Long-Term Incentive Plan. 100% of the total number of shares issuable under the option became exercisable on 5/19/2012.
- Exercise of non-qualified stock option granted on 2/13/2012 under the Farmer Bros. Co. 2007 Omnibus Plan prior to its amendment and restatement in the form of the Farmer Bros. Co. Amended and Restated 2007 Long-Term Incentive Plan. 100% of the total number of shares issuable under the option became exercisable on 2/13/2013.
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