SEC Form 4/A · accession 0000003545-18-000057
ALICO, INC. · ALCO
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
George R Brokaw
Officer — Vice Chairman · Director
Period of report
Jul 31, 2018
Accepted (ET)
Jul 31, 2018 · 4:52 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 | Jul 31, 2018 | A | 952 | $31.50 | A | 138,093 | D | |
| 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 | — | — | — | 270,882 | I | Delta Offshore Master II, LTD |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person's original Form 4 for this transaction, filed on July 3, 2018 is being amended by this Form 4 amendment to correct the number of shares of common stock acquired by the Reporting Person which was inadvertently reported as 958 shares and the correct number of shares acquired is 952.
- 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.
- F3Delta 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.
Remarks
These shares were issued under the Stock Incentive Plan of 2015.