Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FARMER BROTHERS COFARM · Entity 49843 | Director · PRESIDENT, CEO | November 12, 2018 | November 15, 2018 |
| MARZETTI COMZTI · Entity 4222 | Director | November 20, 2025 | November 24, 2025 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FARMER BROTHERS CO
Report date November 12, 2018 · Filed November 15, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $25.04 · Expires 2025-11-12 | Direct | 39,233 |
Reported balance
After 2018-11-12 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2018-11-12 · Grant · Acquired 39,233 · Balance 39,233 F1: Grant of non-qualified stock option under the Farmer Bros. Co. 2017 Long-Term Incentive Plan (the "Plan"); the stock option vests pursuant to a three year vesting schedule, whereby one-third of the total number of shares issuable under the option becomes exercisable each year on the anniversary of the grant date, subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances. F2: Represents only the stock options granted on the Transaction Date and does not include stock options with different prices and/or vesting terms. |
| Performance-Based Restricted Stock Units (PBRSUs)SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 12,190 |
Reported balance
After 2018-11-12 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2018-11-12 · Grant · Acquired 12,190 · Balance 12,190 F3: Grant of performance-based restricted stock units ("PBRSUs") under the Plan. The target number of PBRSUs is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the PBRSUs are scheduled to vest based on achievement of certain financial performance goals for the performance period July 1, 2018 through June 30, 2021. At the end of the three-year performance period, the number of PBRSUs that actually vest will be 0% to 150% of the target amount set forth in Table II, Item 5, depending on the extent to which Farmer Bros. Co. meets or exceeds certain financial performance goals measured over the full three-year performance period. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of non-qualified stock option under the Farmer Bros. Co. 2017 Long-Term Incentive Plan (the "Plan"); the stock option vests pursuant to a three year vesting schedule, whereby one-third of the total number of shares issuable under the option becomes exercisable each year on the anniversary of the grant date, subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances.
F2: Represents only the stock options granted on the Transaction Date and does not include stock options with different prices and/or vesting terms.
F3: Grant of performance-based restricted stock units ("PBRSUs") under the Plan. The target number of PBRSUs is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the PBRSUs are scheduled to vest based on achievement of certain financial performance goals for the performance period July 1, 2018 through June 30, 2021. At the end of the three-year performance period, the number of PBRSUs that actually vest will be 0% to 150% of the target amount set forth in Table II, Item 5, depending on the extent to which Farmer Bros. Co. meets or exceeds certain financial performance goals measured over the full three-year performance period.
MARZETTI CO
Report date November 20, 2025 · Filed November 24, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2026-11-11 | Direct | 786 |
Reported balance
After 2025-11-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2025-11-20 · Grant · Acquired 786 · Balance 786 F1: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 20, 2025 Filed Nov 24, 2025 19:55 UTC | MARZETTI CO MZTI · Entity 4222 | GrantRestricted Stock Units · Derivative | 786 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-25-009398 · doc4.xml · derivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 786 Underlying: Common Stock · 786 shares Expires 2026-11-11 F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock. Read SEC document |
| November 06, 2024 Filed Nov 7, 2024 23:35 UTC | MARZETTI CO LANC · Entity 4222 | GrantCommon Stock | 674 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-24-009749 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 4,266 Read SEC document |
| November 08, 2023 Filed Nov 13, 2023 11:00 UTC | MARZETTI CO LANC · Entity 4222 | GrantCommon Stock | 695 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-23-010157 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 3,592 Read SEC document |
| November 09, 2022 Filed Nov 14, 2022 20:50 UTC | MARZETTI CO LANC · Entity 4222 | GrantCommon Stock | 565 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-22-011641 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,897 Read SEC document |
| November 10, 2021 Filed Nov 12, 2021 21:04 UTC | MARZETTI CO LANC · Entity 4222 | GrantCommon Stock | 616 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-21-013837 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,332 Read SEC document |
| November 11, 2020 Filed Nov 13, 2020 16:31 UTC | MARZETTI CO LANC · Entity 4222 | GrantCommon Stock | 579 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-20-013508 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,716 Read SEC document |
| November 13, 2019 Filed Nov 15, 2019 21:10 UTC | MARZETTI CO LANC · Entity 4222 | GrantCommon Stock | 610 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-19-014554 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,137 Read SEC document |
| November 14, 2018 Filed Nov 16, 2018 21:39 UTC | MARZETTI CO LANC · Entity 4222 | GrantCommon Stock | 527 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-015628 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 527 Read SEC document |
| November 12, 2018 Filed Nov 15, 2018 00:02 UTC | FARMER BROTHERS CO FARM · Entity 49843 | GrantPerformance-Based Restricted Stock Units (PBRSUs) · Derivative | 12,190 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000034563-18-000065 · wf-form4_154224011824433.xml · derivative · entry 2 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,190 Underlying: Common Stock · 12,190 shares Expires not disclosed F3 · derivative.exercise_date: Grant of performance-based restricted stock units ("PBRSUs") under the Plan. The target number of PBRSUs is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the PBRSUs are scheduled to vest based on achievement of certain financial performance goals for the performance period July 1, 2018 through June 30, 2021. At the end of the three-year performance period, the number of PBRSUs that actually vest will be 0% to 150% of the target amount set forth in Table II, Item 5, depending on the extent to which Farmer Bros. Co. meets or exceeds certain financial performance goals measured over the full three-year performance period. F3 · derivative.expiration_date: Grant of performance-based restricted stock units ("PBRSUs") under the Plan. The target number of PBRSUs is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the PBRSUs are scheduled to vest based on achievement of certain financial performance goals for the performance period July 1, 2018 through June 30, 2021. At the end of the three-year performance period, the number of PBRSUs that actually vest will be 0% to 150% of the target amount set forth in Table II, Item 5, depending on the extent to which Farmer Bros. Co. meets or exceeds certain financial performance goals measured over the full three-year performance period. Read SEC document |
| November 12, 2018 Filed Nov 15, 2018 00:02 UTC | FARMER BROTHERS CO FARM · Entity 49843 | GrantStock Option (right to buy) · Derivative | 39,233 | $0.00 Strike: $25.04 | $0.00 |
DisclosureSEC source: 0000034563-18-000065 · wf-form4_154224011824433.xml · derivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,233 Underlying: Common Stock · 39,233 shares Expires 2025-11-12 F1 · derivative.exercise_date: Grant of non-qualified stock option under the Farmer Bros. Co. 2017 Long-Term Incentive Plan (the "Plan"); the stock option vests pursuant to a three year vesting schedule, whereby one-third of the total number of shares issuable under the option becomes exercisable each year on the anniversary of the grant date, subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances. F2 · balance_after: Represents only the stock options granted on the Transaction Date and does not include stock options with different prices and/or vesting terms. Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 21:43 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionStock Option (right to buy) · Derivative | 23,333 | $0.00 Strike: $11.81 | $0.00 |
DisclosureSEC source: 0000034563-18-000046 · wf-form4_153678856298560.xml · derivative · entry 4 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,218 Underlying: Common Stock · 23,333 shares Expires 2019-12-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. F3 · derivative.exercise_date: The options to purchase shares of common stock of Farmer Bros. Co. are fully vested and immediately exercisable. Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 21:43 UTC | FARMER BROTHERS CO FARM · Entity 49843 | SaleCommon Stock | 23,333 | $28.03 | $654,070.66 |
DisclosureSEC source: 0000034563-18-000046 · wf-form4_153678856298560.xml · nonDerivative · entry 2 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,072 F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. F2 · price: Open market sale of shares from 6/11/2018 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 $28.00 to $28.0664, 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. Read SEC document |
| September 10, 2018 Filed Sep 12, 2018 21:43 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionCommon Stock | 23,333 | $11.81 | $275,562.73 |
DisclosureSEC source: 0000034563-18-000046 · wf-form4_153678856298560.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,405 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: The transactions reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 21:15 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionStock Option (right to buy) · Derivative | 23,333 | $0.00 Strike: $11.81 | $0.00 |
DisclosureSEC source: 0000034563-18-000040 · wf-form4_152892449689621.xml · derivative · entry 4 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,551 Underlying: Common Stock · 23,333 shares Expires 2019-12-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 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 Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 21:15 UTC | FARMER BROTHERS CO FARM · Entity 49843 | SaleCommon Stock, $1.00 par value | 23,333 | $29.62 | $691,097.79 |
DisclosureSEC source: 0000034563-18-000040 · wf-form4_152892449689621.xml · nonDerivative · entry 2 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,072 F2 · kind: This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. F3 · price: 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. Read SEC document |
| June 11, 2018 Filed Jun 13, 2018 21:15 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionCommon Stock, $1.00 par value | 23,333 | $11.81 | $275,562.73 |
DisclosureSEC source: 0000034563-18-000040 · wf-form4_152892449689621.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,405 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:24 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionStock Option (right to buy) · Derivative | 23,333 | $0.00 Strike: $11.81 | $0.00 |
DisclosureSEC source: 0000034563-18-000027 · wf-form4_152097262148243.xml · derivative · entry 4 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,884 Underlying: Common Stock · 23,333 shares Expires 2019-12-07 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 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 to 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. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:24 UTC | FARMER BROTHERS CO FARM · Entity 49843 | SaleCommon Stock, $1.00 par value | 23,333 | $31.70 | $739,569.77 |
DisclosureSEC source: 0000034563-18-000027 · wf-form4_152097262148243.xml · nonDerivative · entry 2 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,072 F2 · kind: This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person. F3 · price: Open market sale of shares from 3/9/2018 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 prices ranging from $31.50 to $31.90; 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. Read SEC document |
| March 09, 2018 Filed Mar 13, 2018 20:24 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionCommon Stock, $1.00 par value | 23,333 | $11.81 | $275,562.73 |
DisclosureSEC source: 0000034563-18-000027 · wf-form4_152097262148243.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,405 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 to 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. Read SEC document |
| November 10, 2017 Filed Nov 15, 2017 01:49 UTC | FARMER BROTHERS CO FARM · Entity 49843 | GrantPerformance-Based Restricted Stock Units (PBRSUs) · Derivative | 28,819 | $0.00 Strike: $31.70 | $0.00 |
DisclosureSEC source: 0000034563-17-000090 · wf-form4_151071054370380.xml · derivative · entry 6 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,819 Underlying: Common Stock · 28,819 shares Expires 2024-11-10 F6 · derivative.exercise_date: Grant of performance-based restricted stock units ("PBRSUs") under the 2017 Plan. The target number of PBRSUs is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the PBRSUs are scheduled to vest based on achievement of certain financial performance goals for the performance period July 1, 2017 through June 30, 2020. At the end of the three-year performance period, the number of PBRSUs that actually vest will be 0% to 150% of the target amount, depending on the extent to which Farmer Bros. Co. meets or exceeds certain financial performance goals measured over the full three-year performance period. The maximum number of PBRSUs that may vest at the end of the three-year performance period is 43,228 (150% of the target amount). Read SEC document |
| November 10, 2017 Filed Nov 15, 2017 01:49 UTC | FARMER BROTHERS CO FARM · Entity 49843 | GrantStock Option (right to buy) · Derivative | 28,819 | $0.00 Strike: $31.70 | $0.00 |
DisclosureSEC source: 0000034563-17-000090 · wf-form4_151071054370380.xml · derivative · entry 5 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 275,217 Underlying: Common Stock · 28,819 shares Expires 2024-11-10 F5 · derivative.exercise_date: Grant of non-qualified stock option under the Farmer Bros. Co. 2017 Long-Term Incentive Plan (the "2017 Plan"); the stock option vests pursuant to a three year vesting schedule, whereby one-third of the total number of shares issuable under the option becomes exercisable each year on the anniversary of the grant date, commencing on November 10, 2018, subject certain continued employment conditions and subject to accelerated vesting in certain circumstances. Read SEC document |
| November 10, 2017 Filed Nov 15, 2017 01:49 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Disposition to issuerStock Option (right to buy) · Derivative | 8,265 | $0.00 Strike: $32.85 | $0.00 |
DisclosureSEC source: 0000034563-17-000090 · wf-form4_151071054370380.xml · derivative · entry 4 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,398 Underlying: Common Stock · 8,265 shares Expires 2023-11-10 F4 · derivative.exercise_date: Forfeiture of performance-based non-qualified stock options ("PNQs") granted to the reporting person on 11/10/2016 under the 2007 Plan that were eligible to vest based on time and the achievement of certain financial performance objectives. Upon grant, the target vesting amount was reported in Table II of Form 4 filed with the SEC on 11/14/2016. On 11/10/2017, based on the Issuer's failure to achieve certain financial performance objectives over the applicable performance period, a total of 8,265 PNQs were forfeited. Of the remaining 33,066 PNQs subject to the award, as of 11/10/2017, 11,022 PNQs have vested and 22,044 PNQs remain eligible to vest. Subject to certain continued employment conditions and subject to accelerated vesting incertain circumstances, one half of the remaining PNQs are scheduled to vest on each of 11/10/2018 and 11/10/2019. Read SEC document |
| November 10, 2017 Filed Nov 15, 2017 01:49 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionStock Option (right to buy) · Derivative | 22,000 | $0.00 Strike: $6.96 | $0.00 |
DisclosureSEC source: 0000034563-17-000090 · wf-form4_151071054370380.xml · derivative · entry 3 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,663 Underlying: Common Stock · 22,000 shares Expires 2019-05-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 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 ("2007 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. Read SEC document |
| November 10, 2017 Filed Nov 15, 2017 01:49 UTC | FARMER BROTHERS CO FARM · Entity 49843 | SaleCommon Stock, $1.00 par value | 22,000 | $30.96 | $681,179.40 |
DisclosureSEC source: 0000034563-17-000090 · wf-form4_151071054370380.xml · nonDerivative · entry 2 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,526 F3 · price: Open market sale of shares from 11/10/2017 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 $30.95 to $31.28; 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 Issuer's stock ownership guidelines. Read SEC document |
| November 10, 2017 Filed Nov 15, 2017 01:49 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionCommon Stock, $1.00 par value | 22,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000034563-17-000090 · wf-form4_151071054370380.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,526 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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 ("2007 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. F2 · balance_after: Includes a total of 2,454 shares (including 284 shares in fiscal 2017) allocated as of the reporting date to the reporting person pursuant to the Farmer Bros. Co. Employee Stock Ownership Plan. Read SEC document |
| November 10, 2017 Filed Dec 5, 2017 00:30 UTC Amendment | FARMER BROTHERS CO FARM · Entity 49843 | GrantPerformance-Based Restricted Stock Units (PBRSUs) · Derivative | 9,464 | $0.00 Strike: $31.70 | $0.00 |
DisclosureSEC source: 0000034563-17-000120 · wf-form4a_151243381078776.xml · derivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · PRESIDENT, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,464 Underlying: Common Stock · 9,464 shares Expires 2024-11-10 F1 · shares: Corrected number of PBRSUs granted on November 10, 2017. F2 · derivative.exercise_date: Grant of performance-based restricted stock units ("PBRSUs") under the Farmer Bros. Co. 2017 Long-Term Incentive Plan. The target number of PBRSUs is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the PBRSUs are scheduled to vest based on achievement of certain financial performance goals for the performance period July 1, 2017 through June 30, 2020. At the end of the three-year performance period, the number of PBRSUs that actually vest will be 0% to 150% of the target amount, depending on the extent to which Farmer Bros. Co. meets or exceeds certain financial performance goals measured over the full three-year performance period. The maximum number of PBRSUs that may vest at the end of the three-year performance period is 14,196 (150% of the target amount). F1 · derivative.underlying_shares: Corrected number of PBRSUs granted on November 10, 2017. F3 · balance_after: Corrected number of PBRSUs beneficially owned after the reported transaction. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 21:51 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionStock option (right to buy) · Derivative | 12,000 | $0.00 Strike: $6.96 | $0.00 |
DisclosureSEC source: 0001209191-17-020267 · doc4.xml · derivative · entry 3 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 276,663 Underlying: Common Stock · 12,000 shares Expires 2019-05-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 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. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 21:51 UTC | FARMER BROTHERS CO FARM · Entity 49843 | SaleCommon Stock, $1.00 par value | 12,000 | $31.66 | $379,894.80 |
DisclosureSEC source: 0001209191-17-020267 · doc4.xml · nonDerivative · entry 2 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,242 F2 · kind: This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. F3 · price: Open market sale of shares from 3/10/2017 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 $31.35 to $32.175; 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. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 21:51 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionCommon Stock, $1.00 par value | 12,000 | $6.96 | $83,520.00 |
DisclosureSEC source: 0001209191-17-020267 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,242 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 22:01 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionStock Option right to buy) · Derivative | 12,000 | $0.00 Strike: $6.96 | $0.00 |
DisclosureSEC source: 0001209191-16-155199 · doc4.xml · derivative · entry 4 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 288,663 Underlying: Common Stock · 12,000 shares Expires 2019-05-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 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. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 22:01 UTC | FARMER BROTHERS CO FARM · Entity 49843 | SaleCommon Stock, $1.00 par value | 8,424 | $35.98 | $303,132.59 |
DisclosureSEC source: 0001209191-16-155199 · doc4.xml · nonDerivative · entry 3 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,242 F2 · kind: This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. F4 · price: Open market sale of shares from 12/12/2016 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 $35.15 to $36.15; 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. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 22:01 UTC | FARMER BROTHERS CO FARM · Entity 49843 | SaleCommon Stock, $1.00 par value | 3,576 | $34.65 | $123,900.53 |
DisclosureSEC source: 0001209191-16-155199 · doc4.xml · nonDerivative · entry 2 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,666 F2 · kind: This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. F3 · price: Open market sale of shares from 12/12/2016 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 $34.15 to $35.15; 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. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 22:01 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionCommon Stock, $1.00 par value | 12,000 | $6.96 | $83,520.00 |
DisclosureSEC source: 0001209191-16-155199 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,242 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 21:58 UTC | FARMER BROTHERS CO FARM · Entity 49843 | GrantStock Option (right to buy) · Derivative | 41,331 | $0.00 Strike: $32.85 | $0.00 |
DisclosureSEC source: 0001209191-16-149762 · doc4.xml · derivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,663 Underlying: Common Stock · 41,331 shares Expires 2023-11-10 F1 · derivative.exercise_date: Grant of non-qualified stock option under the Farmer Bros. Co. Amended and Restated 2007 Long-Term Incentive Plan ("Plan"); the stock option vests pursuant to a three year vesting schedule, whereby one-third of the total number of shares issuable under the option becomes exercisable each year on the anniversary of the grant date, commencing on November 10, 2017, based on the Company's achievement of a modified net income target for fiscal 2017 ("Target") as approved by the Compensation Committee, and the acceleration provisions of the Plan and stock option agreement, and subject to the participant's employment by the Company or service on the Board of Directors of the Company on the applicable vesting date. Twenty percent (20%) of the total number of shares subject to each stock option will be forfeited if the Company's actual modified net income for fiscal 2017 is lower than the Target. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 21:22 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionStock Option (right to buy) · Derivative | 12,000 | $0.00 Strike: $6.96 | $0.00 |
DisclosureSEC source: 0001209191-16-141449 · doc4.xml · derivative · entry 3 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 259,332 Underlying: Common Stock · 12,000 shares Expires 2019-05-11 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: 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. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 21:22 UTC | FARMER BROTHERS CO FARM · Entity 49843 | SaleCommon Stock, $1.00 par value | 12,000 | $32.59 | $391,134.00 |
DisclosureSEC source: 0001209191-16-141449 · doc4.xml · nonDerivative · entry 2 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,242 F2 · kind: This sale was made pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. F3 · price: 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. Read SEC document |
| September 12, 2016 Filed Sep 14, 2016 21:22 UTC | FARMER BROTHERS CO FARM · Entity 49843 | Exercise / conversionCommon Stock, $1.00 par value | 12,000 | $6.96 | $83,520.00 |
DisclosureSEC source: 0001209191-16-141449 · doc4.xml · nonDerivative · entry 1 KEOWN MICHAEL H · CIK 0001259767 · Director · President, CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,242 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · kind: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.