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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 | X |
/s/ Thomas J. Mattei Jr., Attorney-In-Fact for Jeanne Farmer Grossman | 02/26/2018 | |
**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) | Pursuant to the terms of a court-approved settlement agreement, having an effective date of January 5, 2018, entered into among Reporting Person and certain members of her family relating to a number of family trusts, Reporting Person may be deemed to have acquired, indirectly through the trusts referenced in column 7, in a series of transactions not involving a purchase or sale (the "Trust Transactions"), beneficial ownership of an additional 720,827 shares of the Issuer's Common Stock. |
(2) | Reflects all of the shares of Issuer's Common Stock owned directly by various family trusts of which 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 subsequent transactions by Reporting Person, including the Trust Transactions. Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest threin. |
Remarks: This Form 4 amends in its entirety the Form 4 filed by Reporting Person on January 9, 2018 in order to accurately reflect the aggregate number of shares of the Issuer's Common Stock that Reporting Person may be deemed to beneficially own indirectly as a result of the Trust Transactions. |