Filing Details

Accession Number:
0000003545-15-000013
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-01-15 10:29:25
Reporting Period:
2015-01-14
Filing Date:
2015-01-15
Accepted Time:
2015-01-15 10:29:25
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 2015-01-14 4,100 $56.23 76,676 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
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
  1. On January 14, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 4,100 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.
  2. On November 18, 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.
  3. 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 footnote 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.