0001209191-15-079683.txt : 20151112 0001209191-15-079683.hdr.sgml : 20151112 20151112161522 ACCESSION NUMBER: 0001209191-15-079683 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20151110 FILED AS OF DATE: 20151112 DATE AS OF CHANGE: 20151112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: FARMER BROTHERS CO CENTRAL INDEX KEY: 0000034563 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS FOOD PREPARATIONS & KINDRED PRODUCTS [2090] IRS NUMBER: 950725980 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 13601 NORTH FREEWAY, SUITE 200 CITY: FORT WORTH STATE: TX ZIP: 76177 BUSINESS PHONE: 682 549 6600 MAIL ADDRESS: STREET 1: 13601 NORTH FREEWAY SUITE 200 CITY: FORT WORTH STATE: TX ZIP: 76177 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Nelson Mark Joseph CENTRAL INDEX KEY: 0001435748 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34249 FILM NUMBER: 151224991 MAIL ADDRESS: STREET 1: 13601 NORTH FREEWAY, SUITE 200 CITY: FORT WORTH STATE: TX ZIP: 76177 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2015-11-10 0 0000034563 FARMER BROTHERS CO FARM 0001435748 Nelson Mark Joseph FARMER BROS. CO. 13601 NORTH FREEWAY, SUITE 200 FORT WORTH TX 76177 0 0 0 1 Former Treasurer, CFO Common Stock, $1.00 par value 2015-11-10 4 M 0 5584 13.62 A 12568 D Common Stock $1.00 par value 2015-11-10 4 S 0 5584 29.5417 D 6984 D Common Stock $1.00 par value 2015-11-11 4 M 0 2000 13.62 A 8984 D Common Stock $1.00 par value 2015-11-11 4 S 0 2000 29.57 D 6984 D Stock Option (right to buy) 13.62 2015-11-10 4 M 0 5584 0.00 D 2020-05-09 Common Stock 5584 64059 D Stock Option (right to buy) 13.62 2015-11-11 4 M 0 2000 0.00 D 2020-05-09 Common Stock 2000 62059 D Exercise of non-qualified stock option granted on May 9, 2013 under the Farmer Bros. Co. 2007 Omnibus Plan prior to its amendment and restatement in the form of the Farmer Bros. Co. Amended and Restated 2007 Long-Term Incentive Plan. The options vest pursuant to a three year vesting schedule whereby two-thirds of the total number of shares issuable under the option, or 19,630 shares, were exercisable on May 9, 2015 and one-third of the total number of shares issuable under the option, or 9,816 shares, have not vested and are not exercisable as of the transaction date of this report. Includes a total of 1,037 shares (including 522 shares in fiscal 2015) allocated as of the reporting date to the reporting person pursuant to the Farmer Bros. Co. Employee Stock Ownership Plan. Open market sale of shares from 11/10/2015 stock option exercise, with a portion of the proceeds delivered to the issuer for payment of the exercise price of the option. This transaction was executed in multiple trades at prices ranging from $29.50 to $29.59; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. Open market sale of shares from 11/11/2015 stock option exercise, with a portion of the proceeds delivered to the issuer for payment of the exercise price of the option. This transaction was executed in multiple trades at prices ranging from $29.56 to $29.58; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer. /s/ Thomas J. Mattei, Jr., Attorney-In-Fact for Mark J. Nelson 2015-11-12