0001209191-16-141449.txt : 20160914 0001209191-16-141449.hdr.sgml : 20160914 20160914172257 ACCESSION NUMBER: 0001209191-16-141449 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160912 FILED AS OF DATE: 20160914 DATE AS OF CHANGE: 20160914 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: 13601 NORTH FREEWAY, SUITE 200 CITY: FORT WORTH STATE: TX ZIP: 76177 BUSINESS PHONE: 682 549 6600 MAIL ADDRESS: STREET 1: P O BOX 77057 CITY: FORT WORTH STATE: TX ZIP: 76177 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: 161885815 MAIL ADDRESS: STREET 1: 20333 S. NORMANDIE AVE. CITY: TORRANCE STATE: CA ZIP: 90502 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2016-09-12 0 0000034563 FARMER BROTHERS CO FARM 0001259767 KEOWN MICHAEL H FARMER BROS. CO. 13601 NORTH FREEWAY, SUITE 200 FORT WORTH TX 76177 1 1 0 0 President, CEO Common Stock, $1.00 par value 2016-09-12 4 M 0 12000 6.96 A 59242 D Common Stock, $1.00 par value 2016-09-12 4 S 0 12000 32.5945 D 47242 D Stock Option (right to buy) 6.96 2016-09-12 4 M 0 12000 0.00 D 2019-05-11 Common Stock 12000 259332 D Exercise of non-qualified stock option granted on May 11, 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. The option vested pursuant to a three year vesting schedule whereby one-third of the total number of shares issuable under the option became exercisable each year on 5/11/2013, 5/11/2014 and 5/11/2015. This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. Open market sale of shares from 9/12/2016 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 $32.3410 to $33.0700; 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 2016-09-14