Filing Details

Accession Number:
0000003545-15-000003
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-01-05 14:39:09
Reporting Period:
2015-01-02
Filing Date:
2015-01-05
Accepted Time:
2015-01-05 14:39:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
3545 Alico Inc ALCO Agricultural Production-Crops (100) 590906081
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1589074 R George Brokaw 410 Park Avenue 17Th Floor
New York NY 10022
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Alico, Inc., Common Stock, Par Value $1.00 Acquisiton 2015-01-02 4,894 $49.94 60,181 No 4 P Indirect By Delta Offshore Master II, LTD
Alico, Inc., Common Stock, Par Value $1.00 Acquisiton 2015-01-05 600 $50.03 24,149 No 4 A Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Delta Offshore Master II, LTD
No 4 A Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Alico, Inc., Common Stock, Par Value $1.00 3,705,457 Indirect By 734 Investors LLC
Footnotes
  1. On January 2, 2015, Delta Offshore Master II, LTD (the "fund") purchased 4,894 shares of the Company's Common Stock. Trafelet Brokaw Capital Management, L.P. ("TBCM") 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 ("TLC") serves as the general partner of TBCM. Mr. Brokaw may be deemed to have indirect beneficial ownership of the shares reported herein based on his relationship with TBCM. Mr. Brokaw disclaims beneficial ownership of the Company's Common Stock held by the Fund except to the extent of his precuniary interest therein.
  2. On 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 precuniary interest therein.
  3. These shares were issued under the 2013 Incentive Equity Plan.