0000923876-21-000003.txt : 20210428 0000923876-21-000003.hdr.sgml : 20210428 20210428204145 ACCESSION NUMBER: 0000923876-21-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210426 FILED AS OF DATE: 20210428 DATE AS OF CHANGE: 20210428 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Slater Scott S CENTRAL INDEX KEY: 0001519037 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12114 FILM NUMBER: 21866602 MAIL ADDRESS: STREET 1: 550 SOUTH HOPE STREET STREET 2: SUITE 2850 CITY: LOS ANGELES STATE: CA ZIP: 90071 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 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2021-04-26 0 0000727273 CADIZ INC CDZI 0001519037 Slater Scott S 550 SOUTH HOPE STREET SUITE 2850 LOS ANGELES CA 90071 0 1 0 0 Chief Executive Officer Common Stock 29387 D Restricted Stock Units 2021-04-26 4 A 0 255000 0 A Common Stock 255000 255000 D Each restricted stock unit ("RSU") represents a contingent right to receive one share of Cadiz Inc. common stock. 85,000 of these RSUs will vest upon obtaining a new senior secured loan in an amount sufficient to repay the Company's senior secured debt as well as obtaining funding to complete the purchase of the northern pipeline; 85,000 of these RSUs will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and, 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date. The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested. Scott S. Slater 2021-04-28