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