Filing Details
- Accession Number:
- 0000003545-15-000011
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-01-14 11:59:39
- Reporting Period:
- 2015-01-12
- Filing Date:
- 2015-01-14
- Accepted Time:
- 2015-01-14 11:59:39
- 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 |
---|---|---|---|---|---|---|---|
1297619 | W Remy Trafelet | 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 | 2015-01-12 | 4,195 | $52.24 | 64,376 | No | 4 | P | Indirect | By Delta Offshore Master II, LTD |
Alico, Inc., Common Stock, Par Value $1.00 | Acquisiton | 2015-01-13 | 8,200 | $54.57 | 72,576 | No | 4 | P | Indirect | By Delta Offshore Master II, LTD |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Delta Offshore Master II, LTD |
No | 4 | P | Indirect | By Delta Offshore Master II, LTD |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Alico, Inc., Common Stock, Par Value $1.00 | 3,891 | Direct | |
Alico, Inc., Common Stock, Par Value $1.00 | 3,705,457 | Indirect | By 734 Investors, LLC |
Alico, Inc., Common Stock, Par Value $1.00 | 20,000 | Indirect | By George R. Brokaw |
Footnotes
- On January 12, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 4,195 shares of the Company's Common Stock and on January 13, 2015, the Fund purchased 8,200 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 ("TC") serves as the general partner of TBCM. Mr. Trafelet is the managing member of TC and may be deemed to have indirect beneficial ownership of the shares reported herein. Mr. Trafelet disclaims beneficial ownership for the Company's Common Stock held by the Fund except to the extent of his pecuniary interest therein.
- 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. Trafelet and George R. Brokaw are the members of 734 Agriculture, LLC. Mr. Trafelet disclaims beneficial ownership of the Company's Common Stock held by 734 Investors, LLC except to the extent of his pecuniary interest therein.
- George R. Brokaw has entered into an agreement with 734 Investors, LLC to vote his shares as directed by 734 Investors, LLC. As noted in foot note 2, 734 Agriculture LLC is the managing member of 734 Investors, LLC and Mr. Trafelet and George R. Brokaw are the members of 734 Agriculture, LLC.