UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Farmer Equities, LP 20333 S. NORMANDIE AVE TORRANCE, CA 90502 |
 |  X |  |  |
Waite Carol Farmer FARMER BROS CO 20333 S NORMANDIE AV TORRANCE, CA 90502 |
 |  X |  |  |
Grossman Jeanne Farmer FARMER BROS CO 20333 S NORMANDIE AV TORRANCE, CA 90502 |
 |  X |  |  |
Farmer Richard F FARMER BROS CO 20333 S NORMANDIE AV TORRANCE, CA 90502 |
 |  X |  |  |
Farmer Equities, L.P., by: Carol L. Waite, Trustee of the Carol L. Waite Trust, dated August 26, 1997, its General Partner, by: Carol L. Waite, Trustee | 09/15/2006 | |
**Signature of Reporting Person | Date | |
Jeanne F. Grossman Trust, dated August 22,1997, by: Carol L. Waite, Attorney-in Fact for Jeanne F. Grossman, Trustee | 09/15/2006 | |
**Signature of Reporting Person | Date | |
Richard F. Farmer Revocable Living Trust, dated December 29, 1995, by: Carol L. Waite, Attorney-in Fact for Richard F. Farmer, Trustee | 09/15/2006 | |
**Signature of Reporting Person | Date | |
Carol L. Waite Trust, dated August 26, 1997, by: Carol L. Waite, Trustee | 09/15/2006 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | This Form 3/A is being filed to amend the Form 3 filed with the SEC on December 14, 2005 to correct the number of shares reported as beneficially owned by the Reporting Persons. On December 14, 2005, 2,617,530 shares, rather than 2,620,024 shares as originally reported, were contributed to Farmer Equities, LP (the "Partnership") by various trusts for for the benefit of the Farmer family. Upon the distribution of 2,493 shares and payment of $17.56 cash in lieu of fractional shares by the Farmer Bros. Co. Employee Stock Ownership Plan for the benefit of Roy F. Farmer to Emily Marjorie Farmer, Ms. Farmer contributed such shares to a family trust rather than the Partnership as originally reported. No shares were purchased or sold. |
(2) | The 2,617,530 shares contributed to the Partnershio are also indirectly beneficially owned by the Carol L. Waite Trust, dated August 26, 1997, the Jeanne F. Grossman Trust, dated August 22, 1997, and the Richard F. Farmer Revocable Living Trust, dated December 29,1995, as general partners of the Partnership. Each general partner disclaims beneficial ownership of these shares except to the extent of its pecuniary interest therein. The other lines of beneficial ownership previousl reported on Form 3 are not being amended. |