SEC Form 4 · accession 0001191901-17-000004
CADIZ INC · CDZI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy J Shaheen
Officer — CFO · Director
Period of report
Aug 14, 2017
Accepted (ET)
Sep 25, 2017 · 2:01 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 | Aug 14, 2017 | G | 10,000 | $0.00 | D | 148,500 | D | |
| Common Stock | Sep 21, 2017 | S | 50,000 | $12.30 | D | 98,500 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (right to buy)F1 | $11.50 | holding | — | — | — | Jan 14, 2012 | Jan 14, 2020 | Common Stock | 100,000 | 100,000 | D |
Explanation of responses
- F1Previously reported.