SEC Form 4 · accession 0000003545-17-000071

ALICO, INC. · ALCO

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Vice Chairman · Director · 10% Owner

Period of report

Oct 3, 2017

Accepted (ET)

Oct 4, 2017 · 9:46 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 $1.00	Oct 3, 2017	A	867	$34.60	A	135,008	D
Alico, Inc., Common Stock, Par Value $1.00^F1	holding	—	—		—	3,705,457	I	By 734 Investors, LLC
Alico, Inc., Common Stock, Par Value $1.00^F2	holding	—	—		—	270,882	I	By Delta Offshore Master II, LTD

No Table II lines on this filing.

F1On 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.
F2Delta Offshore Master II, LTD (the "Fund") owns 270,882 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.

These shares were issued under the Stock Incentive Plan of 2015.