Page 4 of 9 – SEC Filing
1 NAME OF
REPORTING PERSON
Remy W. Trafelet
2 CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
3 SEC USE ONLY
4 SOURCE OF FUNDS
Not applicable
5 CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
☐
6 CITIZENSHIP OR PLACE OF
ORGANIZATION
USA
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
723,673 (1)
8 SHARED VOTING POWER
3,548,397 (2)
9 SOLE DISPOSITIVE POWER
723,673 (1)
10 SHARED DISPOSITIVE POWER
3,548,397 (2)
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,272,070 (2)
12 CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES
☐
13 PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
57.36%
(3)
14 TYPE OF REPORTING PERSON
IN
(1) 350,972 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is
the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.
(2) 3,200,405 of these shares of Common Stock may be deemed to be beneficially owned by Mr. Trafelet solely in
his capacity as one of two controlling persons of 734 Agriculture, LLC. Mr. Trafelet disclaims beneficial ownership of any shares of Common Stock held by 734 Investors, LLC and 734 Agriculture, LLC except to the extent of his pecuniary interest
therein. The beneficial ownership numbers for Mr. Trafelet also include 347,992 shares held in accounts (including third-party accounts) of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position
with Trafelet Brokaw Capital Management, L.P. (TBCM), which manages such accounts. Mr. Trafelet disclaims beneficial ownership of such shares of Common Stock except to the extent of his pecuniary interest therein.
(3) The percentage of shares of Common Stock was determined using a denominator of 7,447,723 shares of Common Stock
outstanding calculated on the basis of 8,199,957 shares of Common Stock outstanding as of August 31, 2018, as per the Issuers Schedule TO, filed September 5, 2018, minus the 752,234 shares of Common Stock accepted for repurchase
pursuant to the tender offer, as disclosed in the Amendment No. 3 to Schedule TO filed by the Issuer on October 9, 2018.
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| 1 | NAME OF Remy W. Trafelet | |||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER (a) ☐ (b) ☒ | |||||
| 3 | SEC USE ONLY | |||||
| 4 | SOURCE OF FUNDS Not applicable | |||||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL ☐ | |||||
| 6 | CITIZENSHIP OR PLACE OF USA | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 723,673 (1) | ||||
| 8 | SHARED VOTING POWER 3,548,397 (2) | |||||
| 9 | SOLE DISPOSITIVE POWER 723,673 (1) | |||||
| 10 | SHARED DISPOSITIVE POWER 3,548,397 (2) | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,272,070 (2) | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ☐ | |||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT 57.36% | |||||
| 14 | TYPE OF REPORTING PERSON IN | |||||
| (1) | 350,972 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is |
| (2) | 3,200,405 of these shares of Common Stock may be deemed to be beneficially owned by Mr. Trafelet solely in |
| (3) | The percentage of shares of Common Stock was determined using a denominator of 7,447,723 shares of Common Stock |
