Statement of Changes in Beneficial Ownership (4)
February 13 2020 - 4:33PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
KRUSEN W ANDREW JR |
2. Issuer Name and Ticker or Trading Symbol
ALICO, INC.
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ALCO
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
1414 W SWANN AVE, SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/13/2020 |
(Street)
TAMPA, FL 33606
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Alico, Inc., Common Stock, Par Value $1.00 | 2/13/2020 | | J(1) | | 2500 | A | $0 | 25472 (2) | D | |
Alico, Inc., Common Stock, Par Value $1.00 | 2/13/2020 | | J(1) | | 39000 | A | $0 | 40000 (2) | I | By WIT Ventures, LTD (3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Pro rata distributions from ARC Partners, LLC, of which the reporting person is the managing member. |
(2) | In prior reports, the reporting person reported beneficial ownership of all 113,143 shares owned by ARC Partners, LLC, and disclaimed beneficial ownership of the shares except to the extent of his pecuniary interest therein. |
(3) | Dominion Financial Group, Inc. ("DFG") is the managing general partner of WIT Ventures, LTD ("WIT"). Mr. Krusen is the President of DFG and has investment authority over shares held by DFG pursuant to a Consulting Agreement between Mr. Krusen and DFG. Mr. Krusen disclaims beneficial ownership of the shares held by WIT except to the extent of his pecuniary interest therein. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
KRUSEN W ANDREW JR 1414 W SWANN AVE, SUITE 100 TAMPA, FL 33606 | X |
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Signatures
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W. Andrew Krusen | | 2/13/2020 |
**Signature of Reporting Person | Date |
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