Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )
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Alico, Inc.
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(Name of Issuer)
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Common Stock, par value $1.00 per share
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(Title of Class of Securities)
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016230104
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(CUSIP Number)
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November 15, 2019
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(Date of Event which Requires Filing of this Statement)
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Check the appropriate box to designate the rule pursuant to which this Schedule is filed.
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Rule 13d-1(b)
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Rule 13d-1(c)
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Rule 13d-1(d)
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*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent
amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or
otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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CUSIP No. 016230104
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SCHEDULE 13G |
Page 2 of 6
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1
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NAME OF REPORTING PERSON OR
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brian J. Higgins
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
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(a) ☐
(b) ☐
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
USA
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NUMBER OF
SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON
WITH
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5
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SOLE VOTING POWER
514,287
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6
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SHARED VOTING POWER
0
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7
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SOLE DISPOSITIVE POWER
514,287 |
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8
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SHARED DISPOSITIVE POWER
0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
514,287
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10
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
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☐ |
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.89%
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12
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TYPE OF REPORTING PERSON
IN
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CUSIP No. 016230104
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SCHEDULE 13G |
Page 3 of 6
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ITEM 1.
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(a)
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Name of Issuer:
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Alico, Inc.
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(b)
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Address of Issuer’s Principal Executive Offices:
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10070 Daniels Interstate Court, Suite 100
Fort Myers, FL 33913
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ITEM 2.
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(a)
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Name of Person Filing:
Brian J. Higgins (the “Reporting Person”)
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(b)
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Address of Principal Business Office, or if none, Residence:
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299 Park Avenue, 40th Floor
New York, NY 10171
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(c)
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Citizenship:
USA
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(d)
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Title of Class of Securities:
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See cover page
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(e)
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CUSIP Number:
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See cover page
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ITEM 3.
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IF THIS STATEMENT IS FILED PURSUANT TO §240.13D-1(B) OR 240.13D-2(B) OR (C), CHECK
WHETHER THE PERSON FILING IS A:
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(a)
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[__] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o)
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(b)
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[__] Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. 78c)
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(c)
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[__] Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 78c)
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(d)
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[__] Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8)
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(e)
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[__] An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E)
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(f)
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[__] An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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[__] A Parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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[__] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813)
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(i)
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[__] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3)
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(j)
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[__] A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
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(k)
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[__] Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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CUSIP No. 016230104
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SCHEDULE 13G |
Page 4 of 6
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| ITEM 4. | OWNERSHIP. | |
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The shares of Common Stock reported on this Schedule are directly owned by 208 Florida Holdings, LLC, of which the Reporting Person is the sole member.
The percentage beneficial ownership reported in Item 11 of the cover page to this Schedule was calculated based on 7,469,513 shares of Common Stock outstanding, as reported in the Issuer’s quarterly report on Form 10-Q for the
period ended June 30, 2019, adjusted for a stock repurchase subsequent to August 6, 2019.
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(a)
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Amount beneficially owned:
See row 9 of cover page
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(b)
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Percent of class:
See row 11 of cover page
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(c)
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Number of shares as to which such person has:
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(i)
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Sole power to vote or to direct the vote:
See row 5 of cover page
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(ii)
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Shared power to vote or to direct the vote:
See row 6 of cover page
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(iii)
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Sole power to dispose or to direct the disposition of:
See row 7 of cover page
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(iv)
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Shared power to dispose or to direct the disposition of:
See row 8 of cover page
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ITEM 5.
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OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check the following ☐.
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ITEM 6.
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OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
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See Item 4.
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ITEM 7.
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IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
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| See Item 4 | |||
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CUSIP No. 016230104
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SCHEDULE 13G |
Page 5 of 6
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ITEM 8.
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IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
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| Not Applicable | |
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ITEM 9.
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NOTICE OF DISSOLUTION OF GROUP.
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| Not Applicable | |
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ITEM 10.
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CERTIFICATION.
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose
of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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CUSIP No. 016230104
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SCHEDULE 13G |
Page 6 of 6
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SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Dated: November 15, 2019
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/s/ Brian J. Higgins
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Name: Brian J. Higgins
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