SEC Form 4 · accession 0001238663-16-000001
CADIZ INC · CDZI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Winston H Hickox
Director
Period of report
Nov 16, 2016
Accepted (ET)
Nov 18, 2016 · 4:46 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 | Nov 16, 2016 | P | 3,000 | $9.033 | A | 33,000 | I | By Spouse |
| Common Stock | Nov 17, 2016 | P | 2,000 | $9.282 | A | 35,000 | I | By Spouse |
| Common StockF2 | holding | — | — | — | 67,133 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $9.0255 to $9.05. The Reporting Person undertakes to provide Cadiz Inc., any security holders of Cadiz Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price with the ranges set forth in this footnote.
- 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.