0000923876-22-000004.txt : 20220322 0000923876-22-000004.hdr.sgml : 20220322 20220322151036 ACCESSION NUMBER: 0000923876-22-000004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220320 FILED AS OF DATE: 20220322 DATE AS OF CHANGE: 20220322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Grant Geoffrey T CENTRAL INDEX KEY: 0001387874 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40579 FILM NUMBER: 22759118 MAIL ADDRESS: STREET 1: 1482 E. VALLEY ROAD STREET 2: SUITE 555 CITY: SANTA BARBARA STATE: CA ZIP: 93108 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 2022-03-20 0 0000727273 CADIZ INC CDZI 0001387874 Grant Geoffrey T C/O CADIZ INC. 550 SOUTH HOPE STREET, SUITE 2850 LOS ANGELES CA 90071 1 0 0 0 Common Stock 2022-03-20 4 A 0 285714 1.75 A 470567 D Common Stock 30500 I By Trust These shares were issued under a Securities Purchase Agreement dated March 20, 2022, between the Issuer and certain purchasers including the Reporting Person in connection to a registered direct offering reported on the Issuer's Current Report on Form 8-K filed on March 21, 2022. The issuance of these shares has been approved by the Issuer's Board of Directors and the disinterested members of the Audit and Risk Committee of the Board. These shares are held in five separate trusts, each holding 6,100 shares for the benefit of a child of the Reporting Person. The trustee of these trusts is not a member of the Reporting Person's immediate family. The Reporting Person disclaims beneficial ownership for the securities held by these trusts. Geoffrey T. Grant 2022-03-22