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 | |
Waite Carol Farmer FARMER BROS CO 20333 S NORMANDIE AV TORRANCE, CA 90502 |
 X |  X |  | trustee, beneficiary, settlor |
Grossman Jeanne Farmer FARMER BROS CO 20333 S NORMANDIE AV TORRANCE, CA 90502 |
 |  X |  | trustee, beneficiary, settlor |
Farmer Richard F FARMER BROS CO 20333 S NORMANDIE AV TORRANCE, CA 90502 |
 |  X |  | trustee, beneficiary, settlor |
Carol Lynn Farmer Waite | 03/14/2005 | |
**Signature of Reporting Person | Date | |
Carol Lynn Farmer Waite, Attorney-In-Fact for Jeanne Ann Farmer Grossman | 03/14/2005 | |
**Signature of Reporting Person | Date | |
Carol Lynn Farmer Waite, Attorney-In-Fact for Richard Francis Farmer | 03/14/2005 | |
**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) | The 1,776,632 shares include (i) 1,728,900 shares beneficially owned indirectly by Ms. Waite (added as co-trustee 1/26/05) and Ms. Grossman as successor co-trustees of various family trusts for the benefit of their mother; (ii) 41,702 shares beneficially owned indirectly by Ms. Waite (added as co-trustee 1/26/05) and Ms. Grossman as successor co-trustees of a family trust for the benefit of themselves and Dr. Farmer, including 1,702 shares, rounded to the nearest whole share, previously owned by Roy E. Farmer through the Company's ESOP; and (iii) 6,030 shares beneficially owned indirectly by Ms. Waite and Ms. Grossman as successor co-trustees of a family trust for the benefit of Ms. Waite's son. Ms. Grossman disclaims beneficial ownership of the 6,030 shares since they are held in trust for the benefit of her nephew. |
(2) | The 1,463,640 shares are owned by a famly trust for the benefit of Ms. Waite, Ms. Grossman and Dr. Farmer who intend to seek court appointment of one or more of themselves to fill the trustee vacancy created by the death of Roy E. Farmer on January 7, 2005. |
(3) | The 848,630 shares are beneficially owned indirectly by Ms. Waite, Ms. Grossman and Dr. Farmer as successor co-trustees of various family trusts for their benefit. |
(4) | The 12,120 shares are beneficially owned indirectly by Ms. Grossman and Dr. Farmer as successor co-trustees of various family trusts for the benefit of Ms. Grossman's children. Ms. Grossman was added as co-trustee on 1/26/05. Dr. Farmer disclaims beneficial ownership of the 12,120 shares since they are held in trust for the benefit of his nephews. |
(5) | The 2,219,200 shares are beneficially owned indirectly by Ms. Waite and Dr. Farmer as successor co-trustees of various family trusts for their benefit and the benefit of family members. Ms. Waite was added as co-trustee on 1/26/05. Dr. Farmer disclaims beneficial ownership of 27,771 shares held in trust for the benefit of his nephews. Ms. Waite disclaims beneficial ownership of 14,474 shares held in trust for the benefit of her nephews. |
(6) | The 9,550 shares are beneficially owned indirectly by Ms. Grossman as successor trustee of a family trust for the benefit of her daughter. |
(7) | The 21,820 shres are beneficially owned indirectly by Ms. Grossman as co-trustee and settlor with her husband of a revocable family trust. Ms. Grossman and her husband share voting and investment power over the shares, although the shares are Ms. Grossman's sole and separate property. |
(8) | The 21,820 shares were originally reported as directly owned by Ms. Waite on Form 3, filed with the Securities and Exchange Commission on January 19, 2005. Such shares should have been reported as beneficially owned indirectly by Ms. Waite as sole trustee and settlor of a revokable family trust. |
(9) | The 21,820 shares are beneficially owned indirectly by Mr. Farmer as sole trustee and settlor of a revokable family trust. |
 Remarks: This FORM 3/A is filed jointly by Carol Lynn Farmer Waite, Jeanne Ann Farmer Grossman and Richard Francis Farmer.  Ms. Waite, Ms. Grossman and Dr. Farmer are siblings.  Ms. Waite, Ms. Grossman and Dr. Farmer benefially own an aggregate of 6,395,232 shares of Farmer Bros. Co. common stock as described in this FORM 3/A. |