# EDGAR Filing Document

**Accession Number:** 0000034563
**File Stem:** 0001140361-23-004156
**Filing Date:** 2023-2
**Character Count:** 11201
**Document Hash:** ac40ca9bdacaf2e7d98f56a4570d28f6
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-004156.hdr.sgml**: 20230202

**ACCESSION NUMBER**: 0001140361-23-004156

**CONFORMED SUBMISSION TYPE**: SC 13G/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230202

**DATE AS OF CHANGE**: 20230202

**SUBJECT COMPANY**: 

**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

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-30680
- **FILM NUMBER:** 23580832

**BUSINESS ADDRESS:**
- **STREET 1:** 1912 FARMER BROTHERS DRIVE
- **CITY:** NORTHLAKE
- **STATE:** TX
- **ZIP:** 76262
- **BUSINESS PHONE:** 888 998 2468

**MAIL ADDRESS:**
- **STREET 1:** P O BOX 77057
- **CITY:** FORT WORTH
- **STATE:** TX
- **ZIP:** 76177
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Farmer Bros. Co. 401(k) Plan
- **CENTRAL INDEX KEY:** 0001906626
- **IRS NUMBER:** 950725980
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0630

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A

**BUSINESS ADDRESS:**
- **STREET 1:** 1912 FARMER BROTHERS DRIVE
- **CITY:** NORTHLAKE
- **STATE:** TX
- **ZIP:** 76262
- **BUSINESS PHONE:** 888-998-2468

**MAIL ADDRESS:**
- **STREET 1:** 1912 FARMER BROTHERS DRIVE
- **CITY:** NORTHLAKE
- **STATE:** TX
- **ZIP:** 76262

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, D.C. 20549

### SCHEDULE 13G

#### (Rule 13d-102)

#### INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

#### TO §240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED

#### PURSUANT TO §240.13d-2

#### Under the Securities Exchange Act of 1934

#### (Amendment No. 2)\*

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| |
|:---|
| **Farmer Bros. Co.** |
| **(**Name of Issuer) |

---

---

| |
|:---|
| **Common Stock, $1.00 par value** |
| (Title of Class of Securities) |

---

---

| |
|:---|
| **307675108** |
| (CUSIP Number) |

---

---

| | |
|:---|:---|
|  | **December 31, 2022** |
| (Date of Event Which Requires Filing of this Statement) | (Date of Event Which Requires Filing of this Statement) |

---

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;☒ Rule 13d-1(b)

☐ Rule 13d-1(c)

☐ Rule 13d-1(d)

The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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| | | |
|:---|:---|:---|
| **1** | **NAMES OF REPORTING PERSONS** | **NAMES OF REPORTING PERSONS** |
| **1** | Farmer Bros. Co. 401(k) Plan | Farmer Bros. Co. 401(k) Plan |
| **1** | Farmer Bros. Co. 401(k) Plan | Farmer Bros. Co. 401(k) Plan |
| **2** | **CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP** | **CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP** |
| **2** | (a)☐ | (a)☐ |
| **2** | (b)☒ | (b)☒ |
| **3** | **SEC USE ONLY** | **SEC USE ONLY** |
| **3** |  |  |
| **3** |  |  |
| **4** | **CITIZENSHIP OR PLACE OF ORGANIZATION** | **CITIZENSHIP OR PLACE OF ORGANIZATION** |
| **4** | Delaware | Delaware |
| **4** | Delaware | Delaware |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **5** | **SOLE VOTING POWER** |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **5** | 0 |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **5** | 0 |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **6** | **SHARED VOTING POWER** |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **6** | 2126830 |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **6** | 2126830 |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **7** | **SOLE DISPOSITIVE POWER** |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **7** | 0 |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **7** | 0 |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **8** | **SHARED DISPOSITIVE POWER** |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **8** | 2126830 |
| **NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH** | **8** | 2126830 |
| **9** | **AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON** | **AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON** |
| **9** | 2126830 | 2126830 |
| **9** | 2126830 | 2126830 |
| **10** | **CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)** | **CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)** |
| **10** | ☐ | ☐ |
| **10** | ☐ | ☐ |
| **11** | **PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)** | **PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)** |
| **11** | 10.81% based on 19,681,943 shares of common stock outstanding on December 31, 2022 | 10.81% based on 19,681,943 shares of common stock outstanding on December 31, 2022 |
| **11** | 10.81% based on 19,681,943 shares of common stock outstanding on December 31, 2022 | 10.81% based on 19,681,943 shares of common stock outstanding on December 31, 2022 |
| **12** | **TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)** | **TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)** |
| **12** | EP | EP |
| **12** | EP | EP |

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**Item 1.**

(a)<br> Name of Issuer: Farmer Bros. Co. <br> <br> (b)<br> Address of Issuer's Principal Executive Offices: 1912 Farmer Brothers Drive Northlake, TX 76262

**Item 2.**

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| | |
|:---|:---|
| (a) - (c) Name, Principal Business Address and Citizenship of Person Filing: | (a) - (c) Name, Principal Business Address and Citizenship of Person Filing: |
|  | Farmer Bros. Co. 401(k) Plan |
|  | 1912 Farmer Brothers Drive |
|  | Northlake, TX 76262 |

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 <br> Citizenship: Delaware

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| | | |
|:---|:---|:---|
| (d)<br>| Title of Class of Securities: | Common Stock, $1.00 par value |
| (e)<br>| CUSIP Number: | 307675108 |

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**Item 3.** **If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:**<br>

☒ An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

**Item 4.** **Ownership.**<br>

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.<br>

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) Amount beneficially owned: 2,126,830

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(b) Percent of class: 10.81% based on 19,681,943 shares outstanding on December 31, 2022

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| | | |
|:---|:---|:---|
| (c) | Number of shares as to which the person has: | Number of shares as to which the person has: |
| (i) | Sole power to vote or to direct the vote: | 0 |
| (ii) | Shared power to vote or to direct the vote: | 2126830 |
| (iii) | Sole power to dispose or to direct the disposition of: | 0 |
| (iv) | Shared power to dispose or to direct the disposition of: | 2126830 |
|  | The Reporting Person is the Farmer Bros. Co. 401(k) Plan ("Plan"). All of the shares reported in this filing are shares which are held in the name of the trustee of the Plan, Delaware Charter Guarantee & Trust Company (d/b/a Principal Trust Company) (the "Trustee"). Under the terms of the Plan, the Trustee votes shares which have been allocated to Plan participants in accordance with the participants' instructions. Allocated shares for which no voting instructions have been received are voted by the Trustee in the same proportion as the shares for which votes were received. Determinations regarding the disposition of the shares are made by the Plan participants and by Farmer Bros. Co., the Plan administrator, which is not affiliated with the Trustee. The filing of this Schedule 13G shall not be construed as an admission that the Trustee is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securities covered by the statement. | The Reporting Person is the Farmer Bros. Co. 401(k) Plan ("Plan"). All of the shares reported in this filing are shares which are held in the name of the trustee of the Plan, Delaware Charter Guarantee & Trust Company (d/b/a Principal Trust Company) (the "Trustee"). Under the terms of the Plan, the Trustee votes shares which have been allocated to Plan participants in accordance with the participants' instructions. Allocated shares for which no voting instructions have been received are voted by the Trustee in the same proportion as the shares for which votes were received. Determinations regarding the disposition of the shares are made by the Plan participants and by Farmer Bros. Co., the Plan administrator, which is not affiliated with the Trustee. The filing of this Schedule 13G shall not be construed as an admission that the Trustee is, for the purposes of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, as amended, the beneficial owner of any securities covered by the statement. |

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| | |
|:---|:---|
| **Item 5.** | **Ownership of Five Percent or Less of Class** |

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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following ☐.

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**Item 6.** **Ownership of More Than Five Percent on Behalf of Another Person**<br>

Not applicable

**Item 7.** **Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company**<br>

Not Applicable

**Item 8.** **Identification and Classification of Members of the Group**<br>

Not Applicable

**Item 9.** **Notice of Dissolution of Group**<br>

Not Applicable

**Item 10.** **Certification**<br>

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under §240.14a-11.

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#### SIGNATURE

#### <br>
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

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| | |
|:---|:---|
| Date: February 2, 2023 |  |
| By: | **Farmer Bros. Co., as Administrator of the Farmer Bros. Co. 401(k) Plan** |
|  | /s/ Scott R. Drake |
|  | Scott R. Drake |
|  | Chief Financial Officer |

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