SEC Form 4 · accession 0001189957-16-000014
CADIZ INC · CDZI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Winston H Hickox
Director
Period of report
Jun 30, 2016
Accepted (ET)
Jul 5, 2016 · 7:39 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 Stock | Jun 30, 2016 | A | 3,473 | $5.758 | A | 64,838 | D | |
| Common StockF1,F2 | Jul 1, 2016 | A | 1,289 | $5.82 | A | 66,127 | D | |
| Common Stock | holding | — | — | — | 15,000 | I | By Spouse |
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 July 1, 2016.
- 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, 2016.