Initial Statement of Beneficial Ownership (3)
10 April 2020 - 6:12AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Trigran Investments, Inc. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
3/30/2020
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3. Issuer Name and Ticker or Trading Symbol
FARMER BROTHERS CO [FARM]
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(Last)
(First)
(Middle)
630 DUNDEE ROAD, SUITE 230 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
NORTHBROOK, IL 60062
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 6. Individual or Joint/Group Filing(Check Applicable Line)
___ Form filed by One Reporting Person
_X_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 2237553 (1) | I | See Footnote (1) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 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) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Trigran Investments, Inc. is the investment manager to Trigran Investments, L.P. and Trigran Investments, L.P. II, each of which is a private investment limited partnership, and the investment manager to a limited number of separately managed accounts. Douglas Granat, Lawrence A. Oberman, Steven G. Simon, Bradley F. Simon and Steven R. Monieson are the controlling shareholders and officers of Trigran Investments, Inc. Each member of the group disclaims beneficial ownership of the Common Stock except to the extent of its pecuniary interest therein. Each member of the group has the same address listed above for Trigran Investments, Inc. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Trigran Investments, Inc. 630 DUNDEE ROAD, SUITE 230 NORTHBROOK, IL 60062 |
| X |
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Oberman Lawrence A 630 DUNDEE ROAD, SUITE 230 NORTHBROOK, IL 60062 |
| X |
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GRANAT DOUGLAS 630 DUNDEE ROAD, SUITE 230 NORTHBROOK, IL 60062 |
| X |
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Simon Steven G. 630 DUNDEE ROAD, SUITE 230 NORTHBROOK, IL 60062 |
| X |
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Simon Bradley F. 630 DUNDEE ROAD, SUITE 230 NORTHBROOK, IL 60062 |
| X |
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Monieson Steven R 630 DUNDEE ROAD, SUITE 230 NORTHBROOK, IL 60062 |
| X |
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Signatures
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/s/ Lawrence A. Oberman, as Executive Vice President of Trigran Investments, Inc., individually and as attorney-in-fact on behalf of Douglas Granat, Steven G.Simon, Bradley F. Simon and Steven R. Monieson | | 4/9/2020 |
**Signature of Reporting Person | Date |
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