AI assistant
FARMER BROTHERS CO — Director's Dealing 2012
Apr 3, 2012
34716_dirs_2012-04-03_68c979fb-dcb3-40bd-bae0-b23755e002df.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: FARMER BROTHERS CO (FARM)
CIK: 0000034563
Period of Report: 2012-03-28
Reporting Person: MORTENSEN THOMAS W (SR. VICE PRES.OF ROUTE SALES)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock $1 par value | 1308 | Direct |
| Common Stock $1 par value | 6948 | Indirect |
| Common Stock $1 par value | 465 | Direct |
| Common Stock $1 par value | 465 | Direct |
| Common Stock $1 par value | 1070 | Direct |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Stock Option (right to buy) | $22.70 | 2015-02-20 | Common Stock (3000) | Direct | |
| Stock Option (right to buy) | $21.76 | 2015-12-11 | Common Stock (3000) | Direct | |
| Stock Option (right to buy) | $18.41 | 2016-12-10 | Common Stock (3035) | Direct | |
| Stock Option (right to buy) | $18.03 | 2017-12-09 | Common Stock (3035) | Direct | |
| Stock Option (right tobuy) | $7.32 | 2018-12-08 | Common Stock (3035) | Direct |
Footnotes
F1: Shares that have been allocated to the reporting person as of the date of this filing pursuant to the Employee Stock Ownership Plan.
F2: Restricted stock granted to reporting person on December 10, 2009 under the 2007 Omnibus Plan; 100% of the shares will vest on December 10, 2012, subject to acceleration provisions of the 2007 Omnibus Plan and restricted stock agreement.
F3: Restricted stock granted to reporting person on December 9, 2010 under the 2007 Omnibus Plan; 100% of the shares will vest on December 9, 2013, subject to acceleration provisions of the 2007 Omnibus Plan and restricted stock agreement.
F4: Restricted stock granted to reporting person on December 8, 2011 under the 2007 Omnibus Plan; 100% of the shares will vest on December 8, 2014, subject to acceleration provisions of the 2007 Omnibus Plan and restricted stock agreement.
F5: Non-qualified stock option granted to reporting person on February 20, 2008, which stock option vested fully on February 20, 2011. 100% of the shares are vested and exercisable as of the date of this filing.
F6: Non-qualified stock option granted to reporting person on December 11, 2008, which stock option vested fully on December 11, 2011. 100% of the shares are vested and exercisable as of the date of this filing.
F7: Non-qualified stock option granted to reporting person on December 10, 2009. The stock option vests pursuant to a three year vesting schedule, whereby one-third of the total number of shares issuable under the option becomes exercisable each year on the anniversary of the grant date, commencing on December 10, 2009, subject to the acceleration provisions of the 2007 Omnibus Plan and stock option agreement. As of the date of this filing, 2,023 shares are vested and exercisable.
F8: Non-qualified stock option granted to reporting person on December 9, 2010. The stock option vests pursuant to a three year vesting schedule, whereby one-third of the total number of shares issuable under the option becomes exercisable each year on the anniversary of the grant date, commencing on December 9, 2010, subject to the acceleration provisions of the 2007 Omnibus Plan and stock option agreement. As of the date of this filing, 1,011 shares are vested and exercisable.
F9: Non-qualified stock option granted to reporting person on December 8, 2011. The stock option vests pursuant to a three year vesting schedule, whereby one-third of the total number of shares issuable under the option becomes exercisable each year on the anniversary of the grant date, commencing on December 8, 2011, subject to the acceleration provisions of the 2007 Omnibus Plan and stock option agreement. As of the date of this filing, none of the shares is vested and exercisable.