0001854939-23-000005.txt : 20230626 0001854939-23-000005.hdr.sgml : 20230626 20230626185133 ACCESSION NUMBER: 0001854939-23-000005 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221214 FILED AS OF DATE: 20230626 DATE AS OF CHANGE: 20230626 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Kennedy Susan P CENTRAL INDEX KEY: 0001854939 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 001-40579 FILM NUMBER: 231043647 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/A 1 primary_doc.xml PRIMARY DOCUMENT X0407 4/A 2022-12-14 2022-12-14 0 0000727273 CADIZ INC CDZI 0001854939 Kennedy Susan P 550 SOUTH HOPE STREET SUITE 2850 LOS ANGELES CA 90071 1 0 0 0 0 Common Stock 2022-12-14 4 P 0 20000 2.5 A 95950 D Performance Rights 2027-02-04 Common Stock 450000 450000 D On December 14, 2022, the Reporting Person mistakenly filed a Form 4 reporting a purchase of 15,512 shares of common stock. The actual number of shares purchased was 20,000. This amendment is being filed in order to correct the number of shares purchased and the amount of shares beneficially owned by the Reporting Person following such purchase. Previously reported. Each performance right represents a contingent right to receive one share of the Issuer's common stock. 200,000 of the performance rights vest upon the Issuer's common stock achieving a market price of $7 per share; 150,000 vest upon the Issuer's common stock achieving a market price of $9 per share; 50,000 vest upon the Issuer's common stock achieving a market price of $11 per share, and 50,000 vest upon the Issuer's common stock achieving a market price of $13 per share. Performance rights are payable in the form of either cash or common stock registered under a stockholder approved equity incentive plan under which a sufficient number of shares of common stock then remains available for issuance. The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested. Susan P. Kennedy 2023-06-26