SEC Form 4 · accession 0001144204-17-051507
CADIZ INC · CDZI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Water Asset Management LLC
10% Owner
Period of report
Oct 3, 2017
Accepted (ET)
Oct 5, 2017 · 4:00 pm EDT
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 StockF2 | Oct 3, 2017 | J | 8,541 | $12.50 | A | 2,967,162 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Cadiz Inc. (the "Company") issued the 8,541 shares of common stock of the Company subject to this Form 4 (the "Shares") to WPI-Cadiz Farm CA, LLC ("WPI-Cadiz Farm"), an affiliate of the Reporting Person, pursuant to that certain Settlement Agreement and Release, dated as of October 2, 2017, by and among the Company, Cadiz Real Estate LLC, WPI-Cadiz Farm and certain other parties thereto.
- F2The securities reported herein are directly held by investment funds and/or managed accounts for which the Reporting Person serves as investment manager. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein.