SEC Form 4 · accession 0000003545-15-000004
ALICO, INC. · ALCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Remy W Trafelet
Director · 10% Owner
Period of report
Jan 2, 2015
Accepted (ET)
Jan 5, 2015 · 3:15 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000003545
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Alico, Inc., Common Stock, Par Value $1.00F1 | Jan 2, 2015 | P | 4,894 | $49.9398 | A | 60,181 | I | By: Delta Offshore Master II, LTD |
| Alico, Inc., Common Stock, Par Value $1.00F2 | Jan 5, 2015 | A | 562 | $50.03 | A | 3,891 | D | |
| Alico, Inc., Common Stock, Par Value $1.00F3 | holding | — | — | — | 3,705,457 | I | By 734 Investors, LLC | |
| Alico, Inc., Common Stock, Par Value $1.00F4 | holding | — | — | — | 20,000 | I | BY George R. Brokaw |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 2, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 4,894 shares of the Company's Common Stock. Trafelet Brokaw Capital Management, L.P. ("TBCM") serves as investment manager to the Fund and, in such capacity, exercises voting and investment control over securities held for the accounts of the Fund. Trafelet & Company, LLC ("TC") serves as the general partner of TBCM. Mr. Trafelet is the managing member of TC and may be deemed to have indirect beneficial ownership of the shares reported herein. Mr. Trafelet disclaims beneficial ownership for the Company's Common Stock held by the Fund except to the extent of his precuniary interest therein.
- F2These shares were issued under the 2013 Incentive Equity Plan.
- F3On November 19, 2013, 734 Investors, LLC purchased 3,705,457 shares of the Company's Common Stock. 734 Agriculture LLC is the managing member of 734 Investors, LLC. Mr. Trafelet and George R. Brokaw are the members of 734 Agriculture, LLC. Mr. Trafelet disclaims beneficial ownership of the Company's Common Stock held by 734 Investors, LLC except to the extent of his precuniary interest therein.
- F4George R. Brokaw has entered into an agreement with 734 Investors, LLC to vote his shares as directed by 734 Investors, LLC. As noted in footnote 3, 734 Agriculture LLC is the managing member of 734 Investors, LLC and Mr. Trafelet and George R. Brokaw are the members of 734 Agriculture, LLC. Mr. Trafelet disclaims beneficial ownership of the Company's Common Stock held by George R. Brokaw except to the extent of his precuniary interest therein.