0000003545-18-000085.txt : 20181005 0000003545-18-000085.hdr.sgml : 20181005 20181005152341 ACCESSION NUMBER: 0000003545-18-000085 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181003 FILED AS OF DATE: 20181005 DATE AS OF CHANGE: 20181005 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Brokaw George R CENTRAL INDEX KEY: 0001589074 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-00261 FILM NUMBER: 181110475 MAIL ADDRESS: STREET 1: DISH NETWORK CORPORATION STREET 2: 9601 S MERIDIAN BLVD CITY: ENGLEWOOD STATE: CO ZIP: 80112 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALICO INC CENTRAL INDEX KEY: 0000003545 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE PRODUCTION - CROPS [0100] IRS NUMBER: 590906081 STATE OF INCORPORATION: FL FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 10070 DANIELS INTERSTATE COURT STE. 100 CITY: FT. MYERS, STATE: FL ZIP: 33913 BUSINESS PHONE: 239-226-2000 MAIL ADDRESS: STREET 1: 10070 DANIELS INTERSTATE COURT STE. 100 CITY: FT. MYERS, STATE: FL ZIP: 33913 FORMER COMPANY: FORMER CONFORMED NAME: ALICO LAND DEVELOPMENT CO DATE OF NAME CHANGE: 19740219 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2018-10-03 0 0000003545 ALICO INC ALCO 0001589074 Brokaw George R DISH NETWORK CORPORATION 9601 S MERIDIAN BLVD ENGLEWOOD CO 80112 1 1 0 0 Executive Vice Chairman Alico, Inc., Common Stock, Par Value $1.00 2018-10-03 4 S 0 524795 34 D 3180662 I By 734 Investors, LLC Alico, Inc., common Stock, Par Value $1.00 138093 D Alico, Inc., Common Stock, Par Value $1.00 270882 I By Delta Offshore Master II, LTD Options to Purchase Common Stock 27.15 2018-09-04 2026-12-31 Alico, Inc., Common Stock, Par Value $1.00 187500 225000 D Represents sale of shares to Issuer pursuant to an issuer tender offer exempt under Rule 16b-3. On Oct. 4, 2018, Issuer announced that Issuer's tender offer expired at the end of day on Oct. 3, 2018 and was oversubscribed and that the preliminary proration factor, which may be modified, was approximately 14.16%. The number of shares shown as sold is based on application of this preliminary proration factor. The final number of shares to be purchased pursuant to Issuer's tender offer by applying the final proration factor will be announced following the completion of such determinations by the depositary. Upon such final announcement, if the actual number of shares purchased by Issuer that are to be reported by the Reporting Person is different from what is reported in this filing, the Reporting Person will file an amendment to the Form 4 reporting the updated number of shares sold in the tender offer and the updated remaining number of beneficially owned thereafter. Represents shares owned by 734 Investors, LLC. 734 Agriculture, LLC is the managing member of 734 Investor, LLC. The Reporting Person and Remy W. Trafelet are members of 734 Agriculture, LLC. The Reporting Person disclaims beneficial ownership of the Issuer's Common Stock held by 734 Investors, LLC except to the extent of his pecuniary interest therein. Delta Offshore Master II, LTD (the "Fund") owns 270,882 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. 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. Represents the forfeiture of stock options granted under the Stock Incentive Plan of 2015 to the reporting person on December 31, 2016 that were eligible to vest based on certain financial performance objectives. On September 4, 2018, the reporting person forfeited 187,500 options. George R. Brokaw 2018-10-04