-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WExTSZSE01Zvmld/11BCkWMjJ2r3zYMkG19VZkNaeCRaDxl977JMYuRqEsaho1sK 3FlmwikYfndS8R95qQxXQg== 0000923876-09-000002.txt : 20090213 0000923876-09-000002.hdr.sgml : 20090213 20090213193340 ACCESSION NUMBER: 0000923876-09-000002 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: STODDARD RICHARD E CENTRAL INDEX KEY: 0001238663 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12114 FILM NUMBER: 09606377 BUSINESS ADDRESS: BUSINESS PHONE: 9094838500 MAIL ADDRESS: STREET 1: KAISER VENTURES LLC STREET 2: 3633 E. INLAND EMPIRE BLVD., SUITE 480 CITY: ONTARIO STATE: CA ZIP: 91764 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CADIZ INC CENTRAL INDEX KEY: 0000727273 STANDARD INDUSTRIAL CLASSIFICATION: WATER SUPPLY [4941] IRS NUMBER: 770313235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 550 SOUTH HOPE STREET STREET 2: SUITE 2850 CITY: LOS ANGELES STATE: CA ZIP: 90071 BUSINESS PHONE: 213-271-1600 MAIL ADDRESS: STREET 1: 550 SOUTH HOPE STREET STREET 2: SUITE 2850 CITY: LOS ANGELES STATE: CA ZIP: 90071 FORMER COMPANY: FORMER CONFORMED NAME: CADIZ LAND CO INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: PACIFIC AGRICULTURAL HOLDINGS INC DATE OF NAME CHANGE: 19920602 FORMER COMPANY: FORMER CONFORMED NAME: ARIDTECH INC DATE OF NAME CHANGE: 19880523 5 1 primary_doc.xml PRIMARY DOCUMENT X0303 5 2008-12-31 0 0 0 0000727273 CADIZ INC CDZI 0001238663 STODDARD RICHARD E C/O CADIZ INC. 550 SOUTH HOPE STREET, SUITE 2850 LOS ANGELES CA 90071 0 0 0 1 See Remarks Common Stock 2008-01-14 5 G 0 49380 0 D 75311 D Common Stock 2008-04-29 5 G 0 40000 0 D 35311 D Restricted Stock Units 2007-07-25 5 A 0 100000 0 A 100000 D Employee Stock Options (right to buy) 12 2005-05-04 5 A 0 100000 0 A 2006-10-01 2015-05-04 Common Stock 100000 100000 D Performance Rights 2007-07-25 5 A 0 200000 0 A Common Stock 200000 200000 D Includes 50,000 shares of common stock issued under the Company's 2007 Mangement Equity Incentive Plan upon the time-based vesting of previously disclosed Restricted Stock Units. Previously reported. Represents Time-Based Deferred Stock Grants under the Company's 2007 Management Equity Incentive Plan. Each restricted stock unit represents a contingent right to recive one share of the Company's common stock. Represents the date upon which the final condition to the effectiveness of the Company's 2007 Management Equity Incentive Plan was satisfied and the Plan became effective. As previously disclosed, such units vest in two equal annual installments beginning January 1, 2009, subject to the terms of the Company's 2007 Management Equity Incentive Plan. Represents Milestone-Based Deferred Stock Grants under the Company's 2007 Management Equity Incentive Plan. Each performance right represents a contingent right to receive one share of the Company's common stock. One-half of the performance rights shall be issuable only if the Trading Price of the Company's common stock is at least $28 per share for any ten trading days (whether or not consecutive) falling within any period of thirty consecutive trading days which, in turn, fall within a period of two years commencing March 13, 2007, and ending March 12, 2009 (the "Milestone Period"). The remaining one-half of the performance rights shall be issuable only if the Trading Price of the Company's common stock is at least $35 per share for any ten trading days (whether or not consecutive) falling within any period of thirty consecutive trading days which, in turn, fall within the Milestone Period. (continuation of footnote 6) Any performance rights as to which the Trading Price Conditions set forth above are satisfied shall, subject to the terms of the Company's 2007 Management Equity Incentive Plan, vest and be issuable in four equal installments beginning January 1, 2008. CEO & Chairman of the Board of Managers of Cadiz Real Estate LLC Richard Stoddard 2009-02-13 -----END PRIVACY-ENHANCED MESSAGE-----