0000923876-21-000006.txt : 20210817 0000923876-21-000006.hdr.sgml : 20210817 20210817150511 ACCESSION NUMBER: 0000923876-21-000006 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210813 FILED AS OF DATE: 20210817 DATE AS OF CHANGE: 20210817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPEER STANLEY E CENTRAL INDEX KEY: 0001191897 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40579 FILM NUMBER: 211182477 MAIL ADDRESS: STREET 1: 100 WILSHIRE BLVD STREET 2: STE 1600 CITY: SANTA MONICA STATE: CA ZIP: 90401 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 2021-08-13 0 0000727273 CADIZ INC CDZI 0001191897 SPEER STANLEY E 550 SOUTH HOPE STREET SUITE 2850 LOS ANGELES CA 90071 0 1 0 0 Chief Financial Officer Common Stock 2021-08-13 5 M 0 E 20124 0 A 39460 D Restricted Stock Units 2021-08-13 5 M 0 E 42500 0 D Common Stock 42500 85000 D Represents the vesting of 42,500 previously reported restricted stock units ("RSUs") and the concurrent issuance of a net of 20,124 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs. Each previously reported RSU represents a contingent right to receive one share of Cadiz Inc. common stock. 42,500 of these RSUs owned following the reported transaction 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 42,500 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. Stanley E. Speer 2021-08-17