SEC Form 4 · accession 0000003545-19-000009

ALICO, INC. · ALCO

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

Reporting owner

Officer — Executive Vice Chairman · Director

Period of report

Jan 15, 2019

Accepted (ET)

Jan 15, 2019 · 5:25 pm EST

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	Jan 15, 2019	A	1,009	$29.75	A	139,993	D
Alico, Inc., Common Stock, Par Value $1.00^F2	holding	—	—		—	3,180,405	I	By 734 Investors, LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Option to Purchase Common Stock^F3	$27.15	Dec 31, 2016	A	37,500	A	—	Dec 31, 2026	Alico, Inc., Common Stock, Par Value $1.00	37,500	37,500	D

F1These shares were granted under the Stock Incentive Plan of 2015.
F2Represents shares owned by 734 Investors, LLC ("734 Investors"). 734 Agriculture, LLC ("734 Agriculture") is the managing member of 734 Investors. Pursuant to a stipulated status quo order agreed to by the parties to a lawsuit in the Delaware Court of Chancery captioned In re 734 Investors, LLC Litigation, Consol. C.A. No. 2018-0844-JTL, 734 Agriculture may not take any actions outside of the ordinary course of business of 734 Investors without the consent of two-thirds of the membership interests of 734 Investors, including exercising any voting rights with respect to any shares of the Issuer's Common Stock beneficially owned by 734 Investors. The Reporting person and Remy W. Trafelet are members of 734 Agriculture. The Reporting Person disclaims beneficial ownership of the Issuer's Common Stock held by 734 Investors except to the extent of his pecuniary interest therein.
F3The option grant will vest if the price of the Company's common stock during a consecutive 20-day trading period exceeds $60.00.