0000034563-18-000040.txt : 20180613 0000034563-18-000040.hdr.sgml : 20180613 20180613171513 ACCESSION NUMBER: 0000034563-18-000040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180611 FILED AS OF DATE: 20180613 DATE AS OF CHANGE: 20180613 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KEOWN MICHAEL H CENTRAL INDEX KEY: 0001259767 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34249 FILM NUMBER: 18897420 MAIL ADDRESS: STREET 1: P O BOX 77057 CITY: FORT WORTH STATE: TX ZIP: 76177 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: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 1912 FARMER BROTHERS DRIVE CITY: NORTHLAKE STATE: TX ZIP: 76262 BUSINESS PHONE: 888 998 2468 MAIL ADDRESS: STREET 1: P O BOX 77057 CITY: FORT WORTH STATE: TX ZIP: 76177 4 1 wf-form4_152892449689621.xml FORM 4 X0306 4 2018-06-11 0 0000034563 FARMER BROTHERS CO FARM 0001259767 KEOWN MICHAEL H FARMER BROS. CO. 1912 FARMER BROTHERS DRIVE NORTHLAKE TX 76262 1 1 0 0 PRESIDENT, CEO Common Stock, $1.00 par value 2018-06-11 4 M 0 23333 11.81 A 68405 D Common Stock, $1.00 par value 2018-06-11 4 S 0 23333 29.6189 D 45072 D Common Stock, $1.00 par value 2454 I By ESOP Stock Option (right to buy) 11.81 2018-06-11 4 M 0 23333 0 D 2019-12-07 Common Stock 23333.0 228551 D Exercise of non-qualified stock-option granted on December 7, 2012 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 ("2007 Plan") The option vested pursuant a three year vesting schedule whereby one-third of the total number of shares issuable under the option became exercisable each year on 12/7/2013, 12/7/2014, and 12/7/2015 This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. Open market sale of shares from 06/11/2018 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 price ranging from $29.45 to $29.90, 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. The Reporting Person continues to meet the Company's stock ownership guidelines. /s/ Thomas J. Mattei, Jr., Attorney-in-fact for Michael H. Keown 2018-06-13