-----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, JyOs1onFYVNodGhPedyweUIiQHQOo1gsvFnr+nkmSUs+WiUVPjAQ26kAxuUE5NHB +03GGBUW600CpOJTYdVcSw== 0001238663-05-000002.txt : 20050505 0001238663-05-000002.hdr.sgml : 20050505 20050505150911 ACCESSION NUMBER: 0001238663-05-000002 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050505 DATE AS OF CHANGE: 20050505 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: STODDARD RICHARD E CENTRAL INDEX KEY: 0001238663 RELATIONSHIP: OTHER FILING VALUES: FORM TYPE: 144 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 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 000-12114 FILM NUMBER: 05803234 BUSINESS ADDRESS: STREET 1: 777 SOUTH FIGUEROA STREET STREET 2: SUITE 4250 CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 213-271-1600 MAIL ADDRESS: STREET 1: 777 SOUTH FIGUEROA STREET STREET 2: SUITE 4250 CITY: LOS ANGELES STATE: CA ZIP: 90017 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 144 1 stoddard144.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker ________________________________________________________________________________ 1(a) NAME OF ISSUER (Please type or print) Cadiz Inc. - -------------------------------------------------------------------------------- 1(b) IRS IDENT. NO. |(c) SEC FILE NO. | 77-0313235 | 000-12114 - -------------------------------------------------------------------------------- 1(d) ADDRESS OF ISSUER STREET 777 South Figueroa Street, Suite 4250 - -------------------------------------------------------------------------------- 1(d) CITY STATE ZIP CODE Los Angeles CA 90017 - -------------------------------------------------------------------------------- 1(e) TELEPHONE - -------------------------------------------------------------------------------- AREA CODE | NUMBER | 213 | 271-1600 _______________________________________________________________________________ 2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD Richard Stoddard - -------------------------------------------------------------------------------- 2(b) IRS IDENT. NO. (c) RELATIONSHIP TO ISSUER N/A Other - -------------------------------------------------------------------------------- 2(d) ADDRESS STREET 777 South Figueroa Street, Suite 4250 - -------------------------------------------------------------------------------- 2(d) CITY STATE ZIP CODE Los Angeles CA 90017 - -------------------------------------------------------------------------------- INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. identification Number and the SEC File Number.
SEC USE 3(a) (b) ONLY (c) (d) (e) (f) (g) Title of the Name and Address of Broker- Number of Aggregate Number of Shares Approximate Name of Each Class of Each Broker Through Dealer Shares or Market or Other Units Date of Sale Securities Securities Whom the Securities File Other Units Value Outstanding (See instr. 3(f)) Exchange To be Sold are to be Offered Number to be Sold (See instr. (See instr. 3(e)) (MO. DAY YR.) (See instr. 3(g)) or Each Market (See instr. 3(d)) Maker who is 3(c)) Aquiring the Securities - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock B. Riley 24,757 $345,360.15 10,931,194 05/05/05 11100 Santa Monica Blvd. Suite 800 Los Angeles, CA 90025 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
INSTRUCTIONS: 1.(a) Name of issuer (b) Issuer's I.R.S. Identification Number (c) Issuer'S S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2.(a) Name of person for whose account the securities are to be sold (b) Such person's I.R.S. identification number, if such person is an entity (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3.(a) Title of the class of securities to be sold (b) Name and Address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold TABLE I - SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:
Name of Person from Whom Acquired Title of Date You Nature of (if gift, also give date Amount of Date of the Class Acquired Acquisition Transaction donor acquired) Securities Acquired Payment Nature of Payment - ------------------------------------------------------------------------------------------------------------------------------------ Common 05/04/05 Issued under Form S-8 Richard Stoddard 185,816 05/04/05 (Company Award) Stock Registration Statement pursuant to 2003 Management Equity Incentive Plan - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
INSTRUCTIONS: If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. TABLE II - SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Amount of Gross Name and Address of Seller Title of Securities Sold Date of Sale Securities Proceeds - ------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------
REMARKS: INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. May 5, 2005 /s/ Richard Stoddard ___________________________________ ________________________________________ DATE OF NOTICE (SIGNATURE) The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----