0001189957-16-000016.txt : 20161116 0001189957-16-000016.hdr.sgml : 20161116 20161116172525 ACCESSION NUMBER: 0001189957-16-000016 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161114 FILED AS OF DATE: 20161116 DATE AS OF CHANGE: 20161116 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: Hickox Winston H CENTRAL INDEX KEY: 0001299311 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-12114 FILM NUMBER: 162003260 MAIL ADDRESS: STREET 1: C/O THOMAS PROPERTIES GROUP, INC. STREET 2: 515 SOUTH FLOWER STREET, 6TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90071 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2016-11-14 0 0000727273 CADIZ INC CDZI 0001299311 Hickox Winston H C/O CADIZ INC. 550 SOUTH HOPE STREET, SUITE 2850 LOS ANGELES CA 90071 1 0 0 0 Common Stock 2016-11-14 4 P 0 500 8.7999 A 15500 I By Spouse Common Stock 2016-11-15 4 P 0 14500 8.948 A 30000 I By Spouse Common Stock 67133 D The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $8.945 to $8.95. The Reporting Person undertakes to provide Cadiz Inc., any security holders of Cadiz Inc. or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price with the ranges set forth in this footnote. Includes 3,473 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2016, which shares will vest on January 31, 2017. Winston H. Hickox 2016-11-16