TRAFELET REMY W

SEC source: 0000899243-23-001425 · doc4.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,661,450

F1 · shares: Represents shares of common stock received in lieu of cash fees pursuant to the Company's Non-Employee Director Compensation Policy. The Reporting Person will settle all awards of common stock received in 2023, including vested restricted stock units, on December 31, 2026, or upon an earlier change in control or separation from service.

SEC source: 0000899243-22-033277 · doc4.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,650,244

F1 · shares: Represents shares of common stock received in lieu of cash fees pursuant to the Company's Non-Employee Director Compensation Policy. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on December 31, 2026, or upon an earlier change in control or separation from service.

SEC source: 0000899243-22-025759 · doc4.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,640,176

F1 · shares: Represents shares of common stock received in lieu of cash fees pursuant to the Company's Non-Employee Director Compensation Policy. The Reporting Person will settle all awards of common stock received in 2022 and thereafter, including vested restricted stock units, on December 31, 2026, or upon an earlier change in control or separation from service.

SEC source: 0000899243-22-022277 · doc4.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,633,810

F1 · shares: Reflects an award of restricted stock units ("RSUs") representing a contingent right to receive one share of common stock upon vesting. The RSUs vest as to 1/4 of the total number of RSUs on each quarterly anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0000899243-22-014259 · doc4.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,565,964

F1 · shares: Represents shares of common stock received in lieu of cash fees pursuant to the Company's Non-Employee Director Compensation Policy. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on December 31, 2026.

SEC source: 0000899243-22-006304 · doc4.xml · nonDerivative · entry 4

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,562,555

F1 · shares: Represents shares of common stock received in lieu of cash fees pursuant to the Company's Non-Employee Director Compensation Policy. The Reporting Person will settle all awards of common stock received in 2021, including vested restricted stock units, on March 10, 2026. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on December 31, 2026.

SEC source: 0000899243-22-006304 · doc4.xml · nonDerivative · entry 3

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,560,438

F1 · shares: Represents shares of common stock received in lieu of cash fees pursuant to the Company's Non-Employee Director Compensation Policy. The Reporting Person will settle all awards of common stock received in 2021, including vested restricted stock units, on March 10, 2026. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on December 31, 2026.

SEC source: 0000899243-22-006304 · doc4.xml · nonDerivative · entry 2

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,558,872

F1 · shares: Represents shares of common stock received in lieu of cash fees pursuant to the Company's Non-Employee Director Compensation Policy. The Reporting Person will settle all awards of common stock received in 2021, including vested restricted stock units, on March 10, 2026. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on December 31, 2026.

SEC source: 0000899243-22-006304 · doc4.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,557,841

F1 · shares: Represents shares of common stock received in lieu of cash fees pursuant to the Company's Non-Employee Director Compensation Policy. The Reporting Person will settle all awards of common stock received in 2021, including vested restricted stock units, on March 10, 2026. The Reporting Person will settle all awards of common stock received in 2022, including vested restricted stock units, on December 31, 2026.

SEC source: 0000899243-21-011788 · doc4.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 391,667

SEC source: 0001493152-21-005599 · ownership.xml · nonDerivative · entry 2

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 751,068

F1 · balance_after: 588,283 of these shares of Common Stock are held by a revocable trust of which Mr. Trafelet is the grantor.

F2 · balance_after: 162,785 of these shares of Common Stock are held by Delta Master II, LP (the "Fund") of which Mr. Trafelet is an indirect beneficial owner.

SEC source: 0001493152-21-005599 · ownership.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,068

F1 · balance_after: 588,283 of these shares of Common Stock are held by a revocable trust of which Mr. Trafelet is the grantor.

F2 · balance_after: 162,785 of these shares of Common Stock are held by Delta Master II, LP (the "Fund") of which Mr. Trafelet is an indirect beneficial owner.

SEC source: 0001493152-21-003328 · ownership.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 816,068

F1 · balance_after: 653,283 of these shares of Common Stock are held by a revocable trust of which Mr. Trafelet is the grantor.

F2 · balance_after: 162,785 of these shares of Common Stock are held by Delta Master II, LP (the "Fund") of which Mr. Trafelet is an indirect beneficial owner.

SEC source: 0001493152-20-024166 · ownership.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 865,991

F1 · balance_after: 703,206 of these shares of Common Stock are held by a revocable trust of which Mr. Trafelet is the grantor.

F2 · balance_after: 162,785 of these shares of Common Stock are held by Delta Master II, LP (the "Fund") of which Mr. Trafelet is an indirect beneficial owner.

SEC source: 0001493152-20-023865 · ownership.xml · nonDerivative · entry 2

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 866,501

F1 · balance_after: 703,716 of these shares of Common Stock are held by a revocable trust of which Mr. Trafelet is the grantor.

F2 · balance_after: 162,785 of these shares of Common Stock are held by Delta Master II, LP (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-20-023865 · ownership.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 869,295

F1 · balance_after: 703,716 of these shares of Common Stock are held by a revocable trust of which Mr. Trafelet is the grantor.

F2 · balance_after: 162,785 of these shares of Common Stock are held by Delta Master II, LP (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-018432 · ownership.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 911,106

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 of these shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-018272 · ownership.xml · nonDerivative · entry 2

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 912,518

F1 · kind: Between November 20, 2019 and November 22, 2019, Mr. Trafelet sold 8,588 shares of the Common Stock.

F2 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F3 · balance_after: 162,785 of these shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-018272 · ownership.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 920,106

F1 · kind: Between November 20, 2019 and November 22, 2019, Mr. Trafelet sold 8,588 shares of the Common Stock.

F2 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F3 · balance_after: 162,785 of these shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017707 · ownership.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 921,106

F1 · kind: On November 13, 2019 Mr. Trafelet received 514,348 shares of the Common Stock from 734 Investors, LLC ("723 Investors") as a result of a distribution on November 12, 2019 of the Issuer's Common Stock by 734 Investors in-kind to its members pro rata and not for consideration.

F2 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F3 · balance_after: 162,785 of these shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 18

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 17

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 16

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 15

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 14

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 13

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 12

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 11

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 10

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 9

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 8

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 7

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 6

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 5

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 4

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 3

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 2

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001493152-19-017708 · ownership.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,758

F1 · balance_after: 106,221 of these shares of Common Stock are held by a limited liability company of which Mr. Trafelet is the sole owner. Mr. Trafelet disclaims beneficial ownership of the shares held by such limited liability company except to the extent of his pecuniary interest therein.

F2 · balance_after: 162,785 shares of Common Stock are held by Delta Offshore Master II, LTD (the "Fund") of which Mr. Trafelet may be considered to be the indirect beneficial owner by virtue of his position with Trafelet Capital Management, L.P. ("TCM"), which 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. Mr. Trafelet disclaims beneficial ownership of the Common Stock held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0000003545-19-000008 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,212

F1 · shares: These shares were granted under the Stock Incentive Plan of 2015.

F2 · balance_after: Since the date of the Reporting Person's last ownership report, the Reporting Person transferred 213,220 shares of the Company's Common Stock directly held by the Reporting Person and 213,220 shares of the Company's Common Stock directly held by RCF Legacy 2014 LLC pursuant to a domestic relations order, settlement of these transfers is pending as of the date hereof. The Reporting Person no longer reports as beneficially owned any securities transferred pursuant to such domestic relations order.

SEC source: 0000003545-18-000096 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,982

F1 · shares: These shares were granted under the Stock Incentive Plan of 2015.

F1 · balance_after: These shares were granted under the Stock Incentive Plan of 2015.

SEC source: 0000003545-18-000084 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By 734 Investors, LLC

Disclosed balance after: 3,180,662

F1 · shares: Represents sale of shares to Issuer pursuant to an issuer tender offer exempt under Rule 16b-3. On Oct. 4, 2018, Issuer announced that Issuer's tender offer expired at the end of day on Oct. 3, 2018 and was oversubscribed and that the preliminary proration factor, which may be modified, was approximately 14.16%. The number of shares shown as sold is based on application of this preliminary proration factor. The final number of shares to be purchased pursuant to Issuer's tender offer by applying the final proration factor will be announced following the completion of such determinations by the depositary. Upon such final announcement, if the actual number of shares purchased by Issuer that are to be reported by the Reporting Person is different from what is reported in this filing, the Reporting Person will file an amendment to the Form 4 reporting the updated number of shares sold in the tender offer and the updated remaining number of beneficially owned thereafter.

F1 · balance_after: Represents sale of shares to Issuer pursuant to an issuer tender offer exempt under Rule 16b-3. On Oct. 4, 2018, Issuer announced that Issuer's tender offer expired at the end of day on Oct. 3, 2018 and was oversubscribed and that the preliminary proration factor, which may be modified, was approximately 14.16%. The number of shares shown as sold is based on application of this preliminary proration factor. The final number of shares to be purchased pursuant to Issuer's tender offer by applying the final proration factor will be announced following the completion of such determinations by the depositary. Upon such final announcement, if the actual number of shares purchased by Issuer that are to be reported by the Reporting Person is different from what is reported in this filing, the Reporting Person will file an amendment to the Form 4 reporting the updated number of shares sold in the tender offer and the updated remaining number of beneficially owned thereafter.

F2 · ownership.nature: Represents shares owned by 734 Investors, LLC. 734 Agriculture, LLC is the managing member of 734 Investor, LLC. The Reporting Person and George R. Brokaw are members of 734 Agriculture, LLC. The Reporting Person disclaims beneficial ownership of the Issuer's Common Stock held by 734 Investors, LLC except to the extent of his pecuniary interest therein.

SEC source: 0000003545-18-000086 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By 734 Investors, LLC

Disclosed balance after: 3,180,405

F1 · shares: This Form 4 amendment is filed to report the updated number of shares of Common Stock accepted by and sold to 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%

F1 · balance_after: This Form 4 amendment is filed to report the updated number of shares of Common Stock accepted by and sold to 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%

F2 · ownership.nature: Represents shares owned by 734 Investors, LLC. 734 Agriculture, LLC is the managing member of 734 Investors, LLC. The Reporting Person and George R. Brokaw are members of 734 Agriculture, LLC. The Reporting Person disclaims beneficial ownership of the Issuer's Common Stock held by 734 Investors, LLC except to the extent of his pecuniary interest therein.

SEC source: 0000003545-19-000008 · primary_doc.xml · derivative · entry 7

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

Underlying: Alico, Inc., Common Stock, Par Value $1.00 · 210,000 shares

Expires 2026-12-31

F8 · derivative.exercise_date: The option grants will vest as follows: (i) 25% of the options will vest if the price of the Company's Common Stock during a consecutive 20-day trading period exceeds $35.00; (ii) 25% of the options will vest if the price of the Company's Common Stock during a consecutive 20-day trading period exceeds $40.00; (iii) 25% of the options will vest if the price of the Company's Common Stock during a consecutive 20-day trading period exceeds $45.00; and (iv) 25% of the options will vest if the price of the Company's Common Stock during a consecutive 20-day trading period exceeds $50.00.

SEC source: 0000003545-18-000077 · primary_doc.xml · derivative · entry 6

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,000

Underlying: Alico, Inc. Common Stock · 210,000 shares

Expires 2026-12-31

F5 · derivative.exercise_date: Represents options granted under the Stock Incentive Plan of 2015. The Option Grants will vest as follows: (i) 25% of the options will vest if the price of the Company's common stock during a consecutive 20-trading period if such price exceeds $35.00; (ii) 25% of the options will vest during a consecutive 20-trading period if such price exceeds $40.00; (iii) 25% of the options will vest during a consecutive 20-trading period if such price exceeds $45.00; and (iv) 25% of the options will vest during a consecutive 20-trading period if such price exceeds $50.00.

SEC source: 0000003545-18-000056 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372,701

SEC source: 0000003545-18-000037 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,332

SEC source: 0000003545-18-000007 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,758

SEC source: 0000003545-17-000072 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,266

SEC source: 0000003545-17-000052 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 367,020

SEC source: 0000003545-17-000030 · primary_doc.xml · nonDerivative · entry 1

TRAFELET REMY W · CIK 0001297619 · Director · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,657