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
  1. 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.
  2. This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
  3. 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.
  4. 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.