-----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, FbPnsZGdll/wheKaTbzDqPHpAUyk8hHTHzSp1Xo0pzyB2EI5humhSZ9b9SHmmTQm +TenrGwsGIBKGdFLgBpzgg== 0000899140-09-001284.txt : 20090717 0000899140-09-001284.hdr.sgml : 20090717 20090717140345 ACCESSION NUMBER: 0000899140-09-001284 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20090717 DATE AS OF CHANGE: 20090717 GROUP MEMBERS: DOMINIC ROBERT REDFERN GROUP MEMBERS: MARK DONEGAN 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: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-35468 FILM NUMBER: 09950365 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Altima Partners LLP CENTRAL INDEX KEY: 0001389022 IRS NUMBER: 000000000 STATE OF INCORPORATION: X0 FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: STIRLING SQUARE, 7 CARLTON GARDENS CITY: LONDON STATE: X0 ZIP: SW1Y 5AD BUSINESS PHONE: (44) 207 968 6400 MAIL ADDRESS: STREET 1: STIRLING SQUARE, 7 CARLTON GARDENS CITY: LONDON STATE: X0 ZIP: SW1Y 5AD SC 13G 1 a5026685a.txt INITIAL FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Amendment No. __ ) Cadiz Inc. ---------- (Name of Issuer) Common Stock, par value $0.01 per share --------------------------------------- (Title of Class of Securities) 127537207 --------- (CUSIP Number) July 7, 2009 ------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). - ----------------------------- ------------------------ CUSIP No. 127537207 13G Page 2 of 10 Pages - ----------------------------- ------------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Altima Partners LLP - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION England and Wales - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 655,550 OWNED BY ------ ---------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH 0 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 655,550 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 655,550 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! -2- - ----------------------------- ------------------------ CUSIP No. 127537207 13G Page 3 of 10 Pages - ----------------------------- ------------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mark Donegan - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 655,550 OWNED BY ------ ---------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH 0 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 655,550 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 655,550 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! -3- - ----------------------------- ------------------------ CUSIP No. 127537207 13G Page 4 of 10 Pages - ----------------------------- ------------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dominic Robert Redfern - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United Kingdom - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 655,550 OWNED BY ------ ---------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON WITH 0 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 655,550 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 655,550 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! -4- This statement on Schedule 13G is filed with respect to the Common Stock (as defined in Item 2(d) below) of Cadiz Inc., a Delaware Corporation. Item 1(a): Name of Issuer: - --------- -------------- The name of the issuer is Cadiz Inc. (the "Company"). Item 1(b): Address of Issuer's Principal Executive Offices: - --------- ----------------------------------------------- The Company's principal executive office is located at 550 South Hope Street, Suite 2850, Los Angeles, California 90071. Item 2(a): Name of Person Filing: - --------- --------------------- This Schedule 13G (this "Schedule 13G") with respect to the Common Stock of the Company is filed by: 1. Altima Partners LLP ("Altima Partners"), a limited liability partnership organized under the laws of England and Wales, which acts as investment advisor to Altima Global Special Opportunities Master Fund Limited ("AGSO") and several other funds, with respect to the shares of Common Stock directly beneficially owned by AGSO (the "Shares"); 2. Mark Donegan ("Mr. Donegan"), a citizen of the United Kingdom, who serves as chief investment officer of Altima Partners, with respect to the Shares; and 3. Dominic Robert Redfern ("Mr. Redfern"), a citizen of the United Kingdom, who serves as a portfolio manager with AGSO, with respect to the Shares. The foregoing are hereinafter sometimes collectively referred to as the "Reporting Persons." The Reporting Persons may be deemed to share beneficial ownership of the Shares by virtue of the relationships set forth above. Any disclosures herein with respect to persons other than the Reporting Persons are made on information and belief after making inquiry to the appropriate party. Item 2(b): Address of Principal Business Office or, if None, - --------- -------------------------------------------------- Residence: --------- The address of the principal business office of Altima Partners, Mr. Donegan and Mr. Redfern is Stirling Square, 7 Carlton Gardens, London, SW1Y 5AD, United Kingdom. Item 2(c): Citizenship: - --------- ----------- Altima Partners is organized under the laws of England and Wales. Mr. Donegan and Mr. Redfern are citizens of the United Kingdom. -5- Item 2(d): Title of Class of Securities: - ---------- ---------------------------- Common Stock, par value $0.01 per share ("Common Stock") Item 2(e): CUSIP Number: - --------- ------------ 127537207 Item 3: If this statement is filed pursuant to - ------- -------------------------------------- Rules 13d-1(b) or 13d-2(b) or (c), check ---------------------------------------- whether the person filing is a: ------------------------------- (a) [ ] Broker or dealer registered under Section 15 of the Act, (b) [ ] Bank as defined in Section 3(a)(6) of the Act, (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act, (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940, (e) [ ] Investment Adviser in accordance with Rule 13d-1 (b)(1)(ii)(E), (f) [ ] Employee Benefit Plan or Endowment Fund in accordance with 13d-1 (b)(1)(ii)(F), (g) [ ] Parent Holding Company or control person in accordance with Rule 13d-1 (b)(1)(ii)(G), (h) [ ] Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act, (i) [ ] Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940, (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). -6- Item 4: Ownership: - ------ --------- A. Altima Partners --------------- (a) Amount beneficially owned: 655,550. (b) Percent of class: 5.2%. The percentages used herein and in the rest of this Schedule 13G are calculated based upon a total of 12,510,236 shares of Common Stock issued and outstanding, as of May 4, 2009, as reflected in the Company's Form 10-Q for the quarterly period ended March 31, 2009. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 655,550 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 655,550 B. Mr. Donegan ----------- (a) Amount beneficially owned: 655,550. (b) Percent of class: 5.2%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 655,550 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 655,550 B. Mr. Redfern ----------- (a) Amount beneficially owned: 655,550. (b) Percent of class: 5.2%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 655,550 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 655,550 Item 5: Ownership of Five Percent or Less of a Class: - ------ -------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [ ] -7- Item 6: Ownership of More than Five Percent on Behalf of Another - ------ -------------------------------------------------------- Person: ------ Other than as set forth herein, no other person is known to have the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, the securities reported in this Schedule 13G. Item 7: Identification and Classification of the Subsidiary Which - ------ --------------------------------------------------------- Acquired the Security Being Reported on by the Parent ----------------------------------------------------- Holding Company: --------------- Not applicable. Item 8: Identification and Classification of Members of the Group: - ------ --------------------------------------------------------- Not applicable. Item 9: Notice of Dissolution of Group: - ------ ------------------------------ Not applicable. Item 10: Certification: - ------- ------------- Each Reporting Person hereby makes the following certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. -8- SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. DATED: July 17, 2009 ALTIMA PARTNERS LLP By: /s/ Malcolm Goddard ---------------------------------------- Name: Malcolm Goddard Title: Partner /s/ Mark Donegan --------------------------------------------- Mark Donegan /s/ Dominic Robert Redfern --------------------------------------------- Dominic Robert Redfern EXHIBIT INDEX Exhibit 99.1: Joint Filing Agreement, by and among Altima Partners LLP, Mark Donegan and Dominic Robert Redfern, dated July 17, 2009. EX-99.1 3 a5026685b.txt JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the statement on Schedule 13G with respect to the common stock of Cadiz Inc. is, and any amendment thereto signed by each of the undersigned shall be, filed on behalf of each undersigned pursuant to and in accordance with the provisions of 13d-1(k) under the Securities Exchange Act of 1934 and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the other, except to the extent that it knows or has reason to believe that such information is inaccurate. DATED: July 17, 2009 ALTIMA PARTNERS LLP By: /s/ Malcolm Goddard ---------------------------------------- Name: Malcolm Goddard Title: Partner /s/ Mark Donegan --------------------------------------------- Mark Donegan /s/ Dominic Robert Redfern --------------------------------------------- Dominic Robert Redfern -----END PRIVACY-ENHANCED MESSAGE-----