SEC Form 4 · accession 0000003545-16-000138

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

Mar 24, 2016

Accepted (ET)

Mar 28, 2016 · 5:28 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 $1.00^F1	Mar 24, 2016	P	5,400	$27.1157	A	270,382	I	By Delta Offshore Master II, LTD
Alico, Inc., Common Stock, Par Value $1.00^F1	Mar 28, 2016	P	500	$27.7164	A	270,882	I	By Delta Offshore Master II, LTD
Alico, Inc., Common Stock, Par Value $1.00	holding	—	—		—	357,462	D
Alico, Inc., Common Stock, Par Value $1.00^F2	holding	—	—		—	350,972	I	By RCF 2014
Alico, Inc., Common Stock, Par Value $1.00^F3	holding	—	—		—	3,705,457	I	By 734 Investors, LLC
Alico, Inc., Common Stock, Par Value $1.00^F4	holding	—	—		—	20,000	I	By George R. Brokaw

Table II — derivative securities

No Table II lines on this filing.

Explanation of responses

F1On March 24, 2016, Delta Offshore Master II, LTD (the "Fund") purchased 5,400 shares of the Company's Common Stock and on March 28, 2016 the Fund purchased 500 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.
F2These shares were issued in connection with the Company's acquisition of 734 Citrus Holdings, LLC ("Silver Nip Citrus"). Mr. Trafelet exercises investment control over securities held by RCF Legacy 2014 LLC.
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 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.
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.