SEC Form 4 · accession 0000003545-15-000014
ALICO, INC. · ALCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
George R Brokaw
Director · 10% Owner
Period of report
Jan 14, 2015
Accepted (ET)
Jan 15, 2015 · 11:11 am 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 14, 2015 | P | 4,100 | $56.2252 | A | 76,676 | I | By Delta Offshore Master II, LTD |
| Alico, Inc., Common Stock, Par Value $1.00F2 | holding | — | — | — | 3,705,457 | I | BY 734 Investors LLC | |
| Alico, Inc., Common Stock, Par Value $1.00 | holding | — | — | — | 24,149 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On January 14, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 4,100 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 ("TLC") serves as the general partner of TBCM. Mr. Brokaw may be deemed to have indirect beneficial ownership of the shares reported herein based on his relationship with TBCM. Mr. Brokaw disclaims beneficial ownership of the Company's Common Stock held by the Fund except to the extent of his pecuniary interest therein.
- F2On 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. Brokaw and Remy W. Trafelet are the members of 734 Agriculture, LLC. Mr. Brokaw disclaims beneficial ownership of the Company's Common Stock held by 734 Investors LLC except to the extent of his pecuniary interest therein.