-----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, MZHsdvq8yLL6RPCDRMabgX4FeltebXLBCMwLY/lh9txKvOhND1UfdsJnhES8NeHe TRW8EE09x3Oq3MOokYHQLw== 0000923876-07-000002.txt : 20070725 0000923876-07-000002.hdr.sgml : 20070725 20070725195236 ACCESSION NUMBER: 0000923876-07-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070725 FILED AS OF DATE: 20070725 DATE AS OF CHANGE: 20070725 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: 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BRACKPOOL KEITH CENTRAL INDEX KEY: 0000923876 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12114 FILM NUMBER: 071000373 BUSINESS ADDRESS: STREET 1: 777 S FIGUEROA ST STREET 2: STE 4250 CITY: LOS ANGELES STATE: CA ZIP: 90017 BUSINESS PHONE: 2132711600 MAIL ADDRESS: STREET 1: CADIZ INC STREET 2: 777 SOUTH FIGUEROA STREET, STE 4250 CITY: LOS ANGELES STATE: CA ZIP: 90017 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2007-07-25 0 0000727273 CADIZ INC cdzi 0000923876 BRACKPOOL KEITH CADIZ INC 777 SOUTH FIGUEROA STREET, STE 4250 LOS ANGELES CA 90017 1 1 0 0 Chief Executive Officer Common Stock 117436 D Employee Stock Options (right to buy) 12 2005-05-04 4 A 0 100000 0 A 2006-10-01 2015-05-04 Common Stock 100000 100000 D Performance Rights 2007-07-25 4 A 0 600000 0 A Common Stock 600000 600000 D Previously reported. Represents Milestone-Based Deferred Stock Grants under the Company's 2007 Management Equity Incentive Plan. Each performance right represents a contingent right to receive one share of the Company's common stock. One-half of the performance rights shall be issuable only if the Trading Price of the Company's common stock is at least $28 per share for any ten trading days (whether or not consecutive) falling within any period of thirty consecutive trading days which, in turn, fall within a period of two years commencing March 13, 2007, and ending March 12, 2009 (the "Milestone Period"). The remaining one-half of the performance rights shall be issuable only if the Trading Price of the Company's common stock is at least $35 per share for any ten trading days (whether or not consecutive) falling within any period of thirty consecutive trading days which, in turn, fall within the Milestone Period. (continuation of footnote 5) Any performance rights as to which the Trading Price Conditions set forth above are satisfied shall, subject to the terms of the Company's 2007 Management Equity Incentive Plan, vest and be issuable in four equal annual installments beginning January 1, 2008. Represents the date upon which the final condition to the effectiveness of the Company's 2007 Management Equity Incentive Plan was satisfied and the Plan became effective. Keith Brackpool 2007-07-25 -----END PRIVACY-ENHANCED MESSAGE-----