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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
 
FORM 8-K
 
CURRENT REPORT
 
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934
 
Date of report (Date of earliest event reported): June 17, 2021
 
CADIZ INC.
(Exact Name of Registrant as Specified in its Charter)
 
delaware
  
0-12114
  
77-0313235
(State or Other Jurisdiction
of Incorporation)
  
(Commission File Number)
  
(IRS Employer
Identification No.)
 
550 S. Hope Street, Suite 2850
Los Angeles, CA
  
90071
(Address of Principal Executive Offices)
  
(Zip Code)
Registrant’s telephone number, including area code: (231) 271-1600
 
Title of each class
  
Trading Symbol(s)
  
Name of each exchange on which registered
Common Stock, par value $0.01 per share
  
CDZI
  
The NASDAQ Global Market
 
Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
 
☐   Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
☐   Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
☐   Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
☐   Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
 
☐  Emerging growth company
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.  ☐
 
 
 
 
ITEM 5.07        SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS
 
On June 17, 2021, the Company held its 2021 Annual Meeting of Stockholders.  The number of shares represented and voting by proxy at said meeting was 32,921,939.
 
i. 
The following directors were elected at the meeting:
 
NOMINEE
VOTES FOR
VOTES WITHHELD
BROKER NON-VOTES
Keith Brackpool
31,552,648
280,087
1,089,204
Stephen E. Courter
31,626,306
205,599
1,089,204
Maria Echaveste
31,817,976
14,759
1,089,204
Geoffrey Grant
31,739,247
93,488
1,089,204
Winston Hickox
31,641,690
191,045
1,089,204
Susan Kennedy
31,825,210
7,525
1,089,204
Scott S. Slater
31,773,503
59,232
1,089,204
Carolyn Webb de Macias
31,814,324
18,411
1,089,204
 
 
ii.
PricewaterhouseCoopers LLP was approved as the Company’s independent auditors for the fiscal year 2021 by the following vote:
 
 
VOTES
FOR:
32,717,662
AGAINST:
203,885
ABSTAIN:
392
 
 
 
 
 
 
iii.
The Company’s stockholders approved, on an advisory basis, the compensation of the Company’s named executive officers, by the following vote:
 
 
VOTES
FOR:
31,641,645
AGAINST:
189,464
ABSTAIN:
1,626
BROKER NON-VOTES:
1,089,204
 
 
 
 
SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
 
CADIZ INC.
     
 
By:
/s/ Stanley E. Speer
   
Stanley E. Speer
   
Chief Financial Officer
 
Date:  June 22, 2021
 
 
 
 
Exhibit Index
 
Exhibit No.
Description
   
104
Cover Page Interactive Data File (formatted as Inline XBRL)