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FARMER BROTHERS CO — Director's Dealing 2012
Jan 9, 2012
34716_dirs_2012-01-09_034ff012-8d06-4311-97e4-2ff5d90c760c.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: FARMER BROTHERS CO (FARM)
CIK: 0000034563
Period of Report: 2011-12-30
Reporting Person: Waite Carol Farmer (10% Owner, Trustee, Beneficiary, Settlor)
Reporting Person: Grossman Jeanne Farmer (Director, 10% Owner, Trustee, Beneficiary, Settlor)
Reporting Person: Farmer Richard F (10% Owner, Trustee, Beneficiary, Settlor)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-12-30 | Farmer Bros. Co. Common Stock | J | 2617530 | — | Disposed | 6399822 | Indirect |
| 2011-12-30 | Farmer Bros. Co. Common Stock | J | 297404 | — | Acquired | 6399822 | Indirect |
| 2011-12-30 | Farmer Bros. Co. Common Stock | J | 297403 | — | Acquired | 6399822 | Indirect |
| 2011-12-30 | Farmer Bros. Co. Common Stock | J | 297403 | — | Acquired | 6399822 | Indirect |
| 2011-12-30 | Farmer Bros. Co. Common Stock | J | 855275 | — | Acquired | 6399822 | Indirect |
| 2011-12-30 | Farmer Bros. Co. Common Stock | J | 870045 | — | Acquired | 6399822 | Indirect |
Footnotes
F1: On December 30, 2011, in connection with its dissolution, Farmer Equities, LP distributed all shares of Farmer Brothers Co. common stock held by it to various trusts for which Carol Farmer Waite, Jeanne Farmer Grossman and Richard F. Farmer serve as trustees, including the trusts that were the general partners of Farmer Equities, LP (the "Distribution"). No shares were purchased or sold.
F2: In connection with the Distribution, 297,404 shares of Farmer Brothers Co. common stock held by Farmer Equities, LP were distributed to a trust for which Ms. Waite is the sole trustee and settlor. No shares were purchased or sold.
F3: In connection with the Distribution, 297,403 shares of Farmer Brothers Co. common stock held by Farmer Equities, LP were distributed to a trust for which Ms. Grossman is the sole trustee and settlor. No shares were purchased or sold.
F4: In connection with the Distribution, 297,403 shares of Farmer Brothers Co. common stock held by Farmer Equities, LP were distributed to a trust for which Mr. Farmer is the sole trustee and settlor. No shares were purchased or sold.
F5: In connection with the Distribution, 855,275 shares of Farmer Brothers Co. common stock held by Farmer Equities, LP were distributed to a family trust for which Ms. Waite and Ms. Grossman are the co-trustees. The shares held by such trust are beneficially owned by each of Ms. Waite, Ms. Grossman and Mr. Farmer to the extent of their proportionate interests in such trust, provided that 37,000 shares held by such trust are held in trust for the benefit of Ms. Grossman's daughter. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or her pecuniary interest therein. No shares were purchased or sold.
F6: In connection with the Distribution, 870,045 shares of Farmer Brothers Co. common stock held by Farmer Equities, LP were distributed to a family trust for which Ms. Waite and Ms. Grossman are the co-trustees. The shares held by such trust are beneficially owned by each of Ms. Waite, Ms. Grossman and Mr. Farmer to the extent of their proportionate interests in such trust. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of his or her pecuniary interest therein. No shares were purchased or sold.