-----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, Fwa8BlYY6tp8r0HUcv5f4ERxyaiv5yRP5+2eV0Kd2f5nrH1XzAO8crFiiUYjwKVJ jvZJn131SIzg48n+/dvoLA== 0000923876-11-000001.txt : 20110112 0000923876-11-000001.hdr.sgml : 20110112 20110112195316 ACCESSION NUMBER: 0000923876-11-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110110 FILED AS OF DATE: 20110112 DATE AS OF CHANGE: 20110112 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 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: 11526341 MAIL ADDRESS: STREET 1: 550 SOUTH HOPE STREET STREET 2: SUITE 2850 CITY: LOS ANGELES STATE: CA ZIP: 90071 4 1 primary_doc.xml PRIMARY DOCUMENT X0303 4 2011-01-10 0 0000727273 CADIZ INC CDZI 0000923876 BRACKPOOL KEITH 550 SOUTH HOPE STREET SUITE 2850 LOS ANGELES CA 90071 1 1 0 0 Chairman and CEO Common Stock 2011-01-10 4 A 0 100000 0 A 247436 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 Employee Stock Options (right to buy) 11.5 2010-01-14 4 A 0 200000 0 A 2020-01-14 Common Stock 200000 300000 D Shares issued to the Reporting Person under the Issuer's 2009 Equity Incentive Plan. The employee has a contractual agreement not to sell any of these shares for a period of three years following the issuance date. Includes 85,000 shares issued to the Reporting Person on January 14, 2010, under the Issuer's 2009 Equity Incentive Plan. The employee has a contractual agreement not to sell any of these shares for a period of three years following the issuance date. Previously reported. Options, which were authorized under the Issuer's 2009 Equity Incentive Plan and which were granted to the Reporting Person on January 14, 2010, vested one-third immediately, one-third will vest on January 14, 2011, and one-third will vest on January 14, 2012. Keith Brackpool 2011-01-12 -----END PRIVACY-ENHANCED MESSAGE-----