SEC Form 4 · accession 0000003545-15-000037
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
Mar 12, 2015
Accepted (ET)
Mar 13, 2015 · 10:52 am EDT
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 | Mar 12, 2015 | P | 5,171 | $45.492 | A | 107,702 | I | By Delta Offshore Master II, LTD |
| Alico, Inc., Common Stock, Par Value $1.00F2 | holding | — | — | — | 691,428 | I | By 734 Agriculture, LLC | |
| Alico, Inc., Common Stock, Par Value $1.00F3 | 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 March 12, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 5,171 shares of the Company's Common Stock. Trafelet Brokaw Capital Management, L.P. ("TCBM") 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. Brokaw may be deemed to have indirect beneficial ownership for the shares reported herein based on his relationship with TBCM. Mr. Brokaw disclaims beneficial ownership for the Company's Common Stock held by the Fund except to the extent of his pecuniary interest therein.
- F2Issued on February 28, 2015, to 734 Agriculture, LLC in connection with the Company's acquisition of 734 Citrus Holdings, LLC ("Silver Nip Citrus") as consideration for its membership interest in Silver Nip Citrus. 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 Agriculture, LLC except to the extent of his pecuniary interest therein.
- 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. 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.