0000003545-18-000087.txt : 20181010
0000003545-18-000087.hdr.sgml : 20181010
20181010173222
ACCESSION NUMBER: 0000003545-18-000087
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20181003
FILED AS OF DATE: 20181010
DATE AS OF CHANGE: 20181010
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Brokaw George R
CENTRAL INDEX KEY: 0001589074
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-00261
FILM NUMBER: 181116775
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/A
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4/A
2018-10-03
2018-10-05
0
0000003545
ALICO INC
ALCO
0001589074
Brokaw George R
TRAFELET BROKAW
410 PARK AVENUE, SUITE 1720
NEW YORK
NY
10022
1
1
0
0
Executive Vice Chairman
Alico, Inc., Common Stock, Par Value $1.00
2018-10-03
4
S
0
525052
34
D
3180405
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
This Form 4 amendment is filed to report the updated number of shares of Common Stock accepted by and sold t the Issuer pursuant to an issuer tender offer exempt under Rule 16b-3 as a result of the final proration factor for the Issuer's tender offer being different from the previously reported preliminary proration factor. The final proration factor for the Issuer's tender offer is 14.17%.
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.
Delta Offshore Master II, LTD (the "Fund") owns 270,882 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.
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
2018-10-10