Sec Form 13G Filing - TRAFELET REMY W filing for ALICO INC. (ALCO) - 2024-01-09

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. ___1___)*

 

ALICO, INC.

(Name of Issuer)

Common Stock, $1.00 par value

(Title of Class of Securities)

016230104

(CUSIP Number)

December 31, 2023

(Date of Event which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

☐ Rule 13d-1(b)

☒ Rule 13d-1(c)

☐ Rule 13d-1(d)

 

*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).

 

 

 

1.	NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)   Remy W. Trafelet
2.	CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) ☐ (b) ☒
3.	SEC USE ONLY
4.	CITIZENSHIP OR PLACE OF ORGANIZATION   United States of America

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH	5.	SOLE VOTING POWER   268,563*
	6.	SHARED VOTING POWER   0
	7.	SOLE DISPOSITIVE POWER   268,563*
	8.	SHARED DISPOSITIVE POWER   0

9.	AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON   268,563*
10.	CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) ☐
11.	PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)   3.5%*
12.	TYPE OF REPORTING PERSON (see instructions)   IN

 

 

Item 1.

 

	(a)	Name of Issuer Alico, Inc.
	(b)	Address of Issuer’s Principal Executive Offices 10070 Daniels Interstate Court Suite, 100 Fort Myers, FL, 33913

 

Item 2.

 

	(a)	Name of Person Filing Remy W. Trafelet*
	(b)	Address of the Principal Office or, if none, residence 231 Royal Palm Way Palm Beach, FL 33480
	(c)	Citizenship United States of America
	(d)	Title of Class of Securities Common Stock, $1.00 par value
	(e)	CUSIP Number 016230104

 

Item 3. If This Statement is filed pursuant to §§.240.13d-1(b) or 240.13d-2(b), or (c), check whether the person filing is: N/A

 

 

Item 4. Ownership.

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 

	(a)	Amount beneficially owned:
			Remy W. Trafelet- 268,563*
	(b)	Percent of class:
			Remy W. Trafelet- 3.5%*
	(c)	Number of shares as to which the person has:
		(i)	Sole power to vote or to direct the vote
			Remy W. Trafelet- 268,563*
		(ii)	Shared power to vote or to direct the vote
			Remy W. Trafelet- 0
		(iii)	Sole power to dispose or to direct the disposition of
			Remy W. Trafelet- 268,563*
		(iv)	Shared power to dispose or to direct the disposition of
			Remy W. Trafelet-0

 

* The Common Stock (the “Shares”) of Alico, Inc., reported herein are held by the Remy W. Trafelet Revocable Trust (the “Trust”) of which Remy W. Trafelet is the grantor and beneficial owner of the revocable trust.

 

Mr. Trafelet disclaims beneficial ownership of the Shares held by the Trust except to the extent of his pecuniary interest therein. This report shall not be deemed an admission that the reporting person or any other person are beneficial owners of the Shares for purposes of Section 13 of the Securities Exchange Act of 1934, as amended, or for any other purpose. The reporting person herein disclaims beneficial ownership of the Shares reported herein except to the extent of the reporting person’s pecuniary interest therein.

 

The percentages herein are calculated based upon a statement in the Issuer’s From 10-K filed on December 6, 2023 for the fiscal year ended on September 30, 2023 that there were 7,616,081 Shares issued and outstanding as of December 4, 2023.

 

 

Item 5. Ownership of Five Percent or Less of a Class.

 

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 ☒.

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

 

N/A

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

 

If a parent holding company or control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the relevant subsidiary.

 

N/A

 

Item 8. Identification and Classification of Members of the Group.

 

If a group has filed this schedule pursuant to §240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to Rule 13d- 1(c) or Rule 13d-1(d), attach an exhibit stating the identity of each member of the group.

 

N/A

 

Item 9. Notice of Dissolution of Group.

 

Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.

 

N/A

 

Item 10. Certification.

 

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, other than activities solely in connection with a nomination under § 240.14a-11.

 

 

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.

 

	January 9, 2024
	Date
	/s/ Remy W. Trafelet
	Signature
	Remy W. Trafelet, Individually
	Name/Title

 

The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided, however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature.

 

Note. Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See s.240.13d-7 for other parties for whom copies are to be sent.

 

Attention. Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001).