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ALICO, INC. — Director's Dealing 2014
Dec 22, 2014
33480_dirs_2014-12-22_0843eac5-55ac-4b73-ae32-cf7a83021e85.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ALICO INC (alco)
CIK: 0000003545
Period of Report: 2014-12-19
Reporting Person: TRAFELET REMY W (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2014-12-19 | Alico, Inc., Common Stock, Par Value $1.00 | P | 38922 | $46.86 | Acquired | 38922 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Alico, Inc., Common Stock, Par Value $1.00 | 3329 | Direct |
| Alico, Inc., Common Stock, Par Value $1.00 | 3705457 | Indirect |
| Alico, Inc., Common Stock, Par Value $1.00 | 20000 | Indirect |
Footnotes
F1: On December 19, 2014, Delta Offshore Master II, LTD (the "Fund") purchased 38,922 shares of the Company's Common Stock. Trafelet Brokaw Capital Management, L.P. ("TBCM") serves as investment manger 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 of the Company's Common Stock held by the Fund except to the extent of his pecuniary interest therein.
F2: 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.
F3: 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. Mr. Trafelet disclaims beneficial ownership of the Company's Common Stock held by George R. Brokaw except to the extent of his pecuniary interest therein.