0001519037-23-000001.txt : 20230303 0001519037-23-000001.hdr.sgml : 20230303 20230303150803 ACCESSION NUMBER: 0001519037-23-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230301 FILED AS OF DATE: 20230303 DATE AS OF CHANGE: 20230303 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: 001-40579 FILM NUMBER: 23703339 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 2023-03-01 0 0000727273 CADIZ INC CDZI 0001519037 Slater Scott S 550 SOUTH HOPE STREET SUITE 2850 LOS ANGELES CA 90071 1 1 0 0 Chief Executive Officer Common Stock 2023-03-01 5 M 0 E 40247 0 A 109881 D Restricted Stock Units 2023-03-01 5 M 0 E 85000 0 D Common Stock 85000 85000 D Represents the vesting of 85,000 previously reported restricted stock units ("RSUs") and the concurrent issuance of a net of 40,247 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. 85,000 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, 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 2023-03-03