SEC Form 4 · accession 0000003545-15-000064
ALICO, INC. · ALCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Remy W Trafelet
Director · 10% Owner
Period of report
Apr 8, 2015
Accepted (ET)
Apr 10, 2015 · 11:10 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 | Apr 8, 2015 | P | 2,800 | $50.5756 | A | 202,447 | I | By Delta Offshore Master II, LTD |
| Alico, Inc., Common Stock, Par Value $1.00F1 | Apr 9, 2015 | P | 2,371 | $49.9105 | A | 204,818 | 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 | — | — | — | 20,000 | I | By George R. Brokaw | |
| Alico, Inc., Common Stock, Par Value $1.00F4 | holding | — | — | — | 302,305 | I | By RCF 2014 Legacy LLC | |
| Alico, Inc., Common Stock, Par Value $1.00 | holding | — | — | — | 306,744 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On April 8, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 2,800 shares of the Company's Common Stock and on April 9, 2015 the Fund purchased 2,371 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. Trafelet is the managing member of TC and may be deemed to have indirect beneficial ownership for 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 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. Trafelet and George R. Brokaw are 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 pecuniary interest therein.
- F3George 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 2, 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.
- F4Mr. Trafelet is the sole beneficiary of a trust, RCF 2014 Legacy LLC. Mr. Trafelet disclaims beneficial ownership of the shares held by such trust except to the extent of his pecuniary interest therein.