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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 | |
Waite Carol Farmer 20333 S. NORMANDIE AVE TORRANCE, CA 90502 |
X | Trustee, Beneficiary, Settlor | ||
Grossman Jeanne Farmer 20333 SOUTH NORMANDIE AVENUE TORRANCE, CA 90502 |
X | X | Trustee, Beneficiary, Settlor | |
Farmer Richard F 20333 S NORMANDIE AVE TORRANCE, CA 90502 |
X | Trustee, Beneficiary, Settlor |
/s/ Carol Farmer Waite | 12/28/2012 | |
**Signature of Reporting Person | Date | |
/s/ Carol Farmer Waite, Attorney-In-Fact for Jeanne Farmer Grossman | 12/28/2012 | |
**Signature of Reporting Person | Date | |
/s/ Carol Farmer Waite, Attorney-In-Fact for Richard F. Farmer | 12/28/2012 | |
**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) | On December 27, 2012, a trust for which Carol Farmer Waite and Jeanne Farmer Grossman are the co-trustees distributed 217,790 shares of Farmer Brothers Co. common stock held by it to a separate trust for which Ms. Waite serves as the trustee. No shares were purchased or sold. |
(2) | In connection with the distribution described in Note 1 above, 217,790 shares of Farmer Brothers Co. common stock held by a trust were distributed to a separate trust for which Carol Farmer Waite serves as the trustee. The shares held by such trust are beneficially owned by Ms. Waite. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Ms. Waite disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. No shares were purchased or sold. |
(3) | On December 27, 2012, a trust for which Carol Farmer Waite and Jeanne Farmer Grossman are the co-trustees distributed 217,790 shares of Farmer Brothers Co. common stock held by it to a separate trust for which Ms. Grossman serves as the trustee. No shares were purchased or sold. |
(4) | In connection with the distribution described in Note 3 above, 217,790 shares of Farmer Brothers Co. common stock held by a trust were distributed to a separate trust for which Jeanne Farmer Grossman serves as the trustee. The shares held by such trust are beneficially owned by Ms. Grossman. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Ms. Grossman disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. No shares were purchased or sold. |
(5) | On December 27, 2012, a trust for which Carol Farmer Waite and Jeanne Farmer Grossman are the co-trustees distributed 217,789 shares of Farmer Brothers Co. common stock held by it to a separate trust for which Richard F. Farmer serves as the trustee. No shares were purchased or sold. |
(6) | In connection with the distribution described in Note 5 above, 217,789 shares of Farmer Brothers Co. common stock held by a trust were distributed to a separate trust for which Richard F. Farmer serves as the trustee. The shares held by such trust are beneficially owned by Mr. Farmer. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Mr. Farmer disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. No shares were purchased or sold. |
(7) | On December 27, 2012, a trust for which Carol Farmer Waite and Jeanne Farmer Grossman are the co-trustees distributed 250,205 shares of Farmer Brothers Co. common stock held by it to a separate trust for which Ms. Waite serves as the trustee. No shares were purchased or sold. |
(8) | In connection with the distribution described in Note 7 above, 250,205 shares of Farmer Brothers Co. common stock held by a trust were distributed to a separate trust for which Carol Farmer Waite serves as the trustee. The shares held by such trust are beneficially owned by Ms. Waite. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Ms. Waite disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. No shares were purchased or sold. |
(9) | On December 27, 2012, a trust for which Carol Farmer Waite and Jeanne Farmer Grossman are the co-trustees distributed 250,205 shares of Farmer Brothers Co. common stock held by it to a separate trust for which Ms. Grossman serves as the trustee. No shares were purchased or sold. |
(10) | In connection with the distribution described in Note 9 above, 250,205 shares of Farmer Brothers Co. common stock held by a trust were distributed to a separate trust for which Jeanne Farmer Grossman serves as the trustee. The shares held by such trust are beneficially owned by Ms. Grossman. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Ms. Grossman disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. No shares were purchased or sold. |
(11) | On December 27, 2012, a trust for which Carol Farmer Waite and Jeanne Farmer Grossman are the co-trustees distributed 250,205 shares of Farmer Brothers Co. common stock held by it to a separate trust for which Richard F. Farmer serves as the trustee. No shares were purchased or sold. |
(12) | In connection with the distribution described in Note 11 above, 250,205 shares of Farmer Brothers Co. common stock held by a trust were distributed to a separate trust for which Richard F. Farmer serves as the trustee. The shares held by such trust are beneficially owned by Mr. Farmer. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Mr. Farmer disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. No shares were purchased or sold. |
(13) | On December 27, 2012, a trust for which Jeanne Farmer Grossman is the trustee distributed 417,986 shares of Farmer Brothers Co. common stock held by it to a separate trust for which Carol Farmer Waite serves as the trustee. No shares were purchased or sold. |
(14) | In connection with the distribution described in Note 13 above, 417,986 shares of Farmer Brothers Co. common stock held by a trust were distributed to a separate trust for which Carol Farmer Waite serves as the trustee. The shares held by such trust are beneficially owned by Ms. Waite. At the option of the Reporting Persons, the entire amount of the trust's interest in the shares is being reported. Ms. Waite disclaims beneficial ownership of such shares except to the extent of her pecuniary interest therein. No shares were purchased or sold. |
(15) | On December 27, 2012, a trust for which Carol Farmer Waite is the trustee distributed 340,000 shares of Farmer Brothers Co. common stock held by it to a separate trust as to which a non-reporting person is the sole trustee and beneficiary. No shares were purchased or sold. |