SEC Form 4 · accession 0000003545-15-000045
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 19, 2015
Accepted (ET)
Mar 23, 2015 · 4:59 pm 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 19, 2015 | P | 3,800 | $45.8733 | A | 123,980 | I | BY Delta Offshore Master II, LTD |
| Alico, Inc., Common Stock, Par Value $1.00F1 | Mar 20, 2015 | P | 823 | $46.9755 | A | 124,803 | 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 $1.00F3 | holding | — | — | — | 110,696 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On March 19, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 3,800 shares of the Company's Common Stock and March 20, 2015 the Fund purchased 823 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.
- 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.
- F386,818 of these shares were received by Mr. Brokaw in connection with 734 Agriculture's distribution to its members in accordance with its operating agreement.