-----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, IzH7yMy2hblrhzmjynV6qfHV07LXbloTksvqceVjGXawY2tTCA2FgqDVSvDiDxgg 39P3Lkef2Dk+Q+8ON3przg== 0000941655-03-000024.txt : 20031103 0000941655-03-000024.hdr.sgml : 20031103 20031031181156 ACCESSION NUMBER: 0000941655-03-000024 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20031103 GROUP MEMBERS: OZF MANAGEMENT, L.P. FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OZ MANAGEMENT LLC CENTRAL INDEX KEY: 0001054587 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CADIZ INC CENTRAL INDEX KEY: 0000727273 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE SERVICES [0700] IRS NUMBER: 770313235 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-35468 FILM NUMBER: 03971129 BUSINESS ADDRESS: STREET 1: 100 WILSHIRE BLVD. STREET 2: SUITE 1600 CITY: SANTA MONICA STATE: CA ZIP: 90401 BUSINESS PHONE: 3108994700 MAIL ADDRESS: STREET 1: 100 WILSHIRE BLVD. STREET 2: SUITE 1600 CITY: SANTA MONICA STATE: CA ZIP: 90401-1111 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 SC 13G/A 1 o13g-cad_am1.txt AMENDMENT NO. 1 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ---------------------- SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No.1) CADIZ INC. (Name of Issuer) Common Stock, Par Value $.01 Per Share (Title of Class of Securities) 127537108 (CUSIP Number) October 24, 2003 (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) CUSIP No. 127537108 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) OZ Management, L.L.C. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 340,834 Shares 6. SHARED VOTING POWER 0 7. SOLE DISPOSITIVE POWER 340,834 Shares 8. SHARED DISPOSITIVE POWER 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 340,834 Shares 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.6% 12. TYPE OF REPORTING PERSON IA CUSIP No. 127537108 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) OZF Management, L.P. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [x] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 74,166 shares 6. SHARED VOTING POWER 0 7. SOLE DISPOSITIVE POWER 74,166 Shares 8. SHARED DISPOSITIVE POWER 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 74,166 Shares 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.1% 12. TYPE OF REPORTING PERSON PN This Amendment No.1 to Schedule 13G amends a Schedule 13G, dated November 28, 2001, with respect to shares of Common Stock ("Shares") of Cadiz, Inc. beneficially owned by each of OZ Management, L.L.C., a Delaware limited liability company ("OZ Management") and OZF Management, L.P., a Delaware limited partnership ("OZF Management"). This Amendment is filed to amend Items 1, 4 and 5, as contained in the Schedule 13G previously filed. Item 1(a). Name of Issuer: Cadiz Inc., a Delaware corporation. Item 1(b). Address of Issuer's Principal Executive Offices: 777 South Figueroa Street, Suite 4250, Los Angeles, California 90017. Item 2(a). - 3. No Amendment Item 4. Ownership See cover page for each Reporting Person. OZ Management serves as an investment manager to a number of discretionary accounts and investment entities for which it has voting and dispositive authority over its 340,834 Shares reported hereby. OZF Management also serves as an investment manager to a number of discretionary accounts and investment entities, for which it has voting and dispositive authority over its 74,166 Shares reported hereby. Although not identified as a Reporting Person herein, Mr. Daniel S. Och is the senior managing member of OZ Management and a senior managing member of OZF Management, L.L.C., the general partner of OZF Management. Furthermore, Stephen C. Freidheim is also a senior managing member of OZF Management, L.L.C. As such, both may be deemed to control such entity and therefore, indirectly, the Shares reported hereby. 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 Persons have ceased to be the beneficial owners of more than five percent of the Common Stock, check the following: [x] Item 6. - 9 No amendment. Item 10. Certifications. 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. 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. Date: October 31, 2003 OZ MANAGEMENT, L.L.C. By: /s/ Daniel S. Och - ------------------------- Name: Daniel S. Och Title: Senior Managing Member OZF MANAGEMENT, L.P. By: OZF Management, L.L.C. as General Partner By: /s/ Daniel S. Och - ---------------------------- Name: Daniel S. Och Title: Senior Managing Member -----END PRIVACY-ENHANCED MESSAGE-----