Statement of Changes in Beneficial Ownership (4)
January 05 2021 - 4:18PM
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
*
SLACK HENRY R |
2. Issuer Name and Ticker or Trading Symbol
ALICO, INC.
[
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)
C/O QUARTERWATCH LLCP.O. BOX 28, 6 FOWLER ROAD |
3. Date of Earliest Transaction
(MM/DD/YYYY)
1/4/2021 |
(Street)
PEAPACK, NJ 07977
(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 | 1/4/2021 | | A | | 766 (1) | A | $30.60 | 20785 | D | |
Alico, Inc., Common Stock, Par Value $1.00 | | | | | | | | 128571 | I | By Rinyami LLC (2) |
Alico, Inc., Common Stock, Par Value $1.00 | | | | | | | | 1820 | I | By Montac Trust (3) |
Alico, Inc., Common Stock, Par Value $1.00 | | | | | | | | 1000 | I | By Family Trusts (4) |
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) | These shares were issued under the Stock Incentive Plan of 2015. |
(2) | Pro rata distribution of Common Stock from 734 Investors, LLC to Rinyami, LLC. Mr. Slack is the Managing Member of Rinyami, LLC and has investment authority over shares held by Rinyami, LLC. Mr. Slack disclaims beneficial ownership of the shares held by Rinyami LLC except to the extent of his pecuniary interest therein. |
(3) | Montac Trust, a trust of which Mr. Slack is a beneficiary, holds 1,820 shares of the Company's Common Stock. Mr. Slack disclaims beneficial ownership of the shares held by such trust except to the extent of his pecuniary interest therein. |
(4) | Two family trusts (the "Family Trusts") directly hold an aggregate of 1,000 shares of the Company's Common Stock. Mr. Slack is not the trustee for the Family Trusts, but his immediate family members are beneficiaries of such trusts. Mr. Slack disclaims beneficial ownership of the shares held by such trust 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 |
SLACK HENRY R C/O QUARTERWATCH LLCP.O. BOX 28 6 FOWLER ROAD PEAPACK, NJ 07977 | X |
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Signatures
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Henry R. Slack | | 1/5/2021 |
**Signature of Reporting Person | Date |
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