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ALICO, INC. — Director's Dealing 2015
Feb 18, 2015
33480_dirs_2015-02-18_fe45fc45-9296-4e3b-aeae-f966fce1375f.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: 2015-02-13
Reporting Person: Brokaw George R (Director, 10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-13 | Alico, Inc., Common Stock, Par Value $1.00 | P | 3441 | $45.2905 | Acquired | 80117 | Indirect |
| 2015-02-17 | Alico, Inc., Common Stock, Par Value $1.00 | P | 2772 | $46.3663 | Acquired | 82889 | 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 | 24149 | Direct |
Footnotes
F1: On February 13, 2015, Delta Offshore Master II, LTD (the "Fund") purchased 3,441 shares of the Company's Common Stock and on February 17, 2015, the Fund purchased 2,772 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 ("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 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.