SEC Form 4 · accession 0000727273-17-000001
CADIZ INC · CDZI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Geoffrey T Grant
Director
Period of report
Jan 1, 2017
Accepted (ET)
Jan 4, 2017 · 2:50 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000727273
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 1, 2017 | A | 610 | $12.30 | A | 137,234 | D | |
| Common StockF3 | holding | — | — | — | 30,500 | I | By Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2017.
- F2Includes 3,473 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2016, which shares will vest on January 31, 2017.
- F3These shares are held in five separate trusts, each holding 6,100 shares for the benefit of a child of the Reporting Person. The trustee of these trusts is not a member of the Reporting Person's immediate family. The Reporting Person disclaims beneficial ownership for the securities held by these trusts.