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ALICO, INC. — Director's Dealing 2015
Mar 24, 2015
33480_dirs_2015-03-24_d4e5a5fa-2dcb-4584-b5fe-1f7b54d78b5c.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: 2014-03-23
Reporting Person: Brokaw George R (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-03-23 | Alico, Inc., Common Stock, Par Value $1.00 | P | 18343 | $50.0928 | Acquired | 143146 | Indirect |
| 2015-03-24 | Alico, Inc., Common Stock, Par Value $1.00 | P | 12993 | $51.5664 | Acquired | 156139 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Alico, Inc., Common Stock, Par Value $1.00 | 3705457 | Indirect |
| Alico, Inc., Common Stock, Par Value $1.00 | 110696 | Direct |
Footnotes
F1: On March 23, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 18,343 shares of the Company's Common Stock and on March 24, 2015 the Fund purchased 12,993 shares of the Company's Common Stock. Trafelet Brokaw Capital Management, L.P. ("TCBM") 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. Brokaw may be deemed to have indirect beneficial ownership for the shares reported herein based on his relationship with TBCM. Mr. Brokaw disclaims beneficial ownership for 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. 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 pecuniary interest therein.