CADIZ INC 4

Accession 0001191901-11-000001

$CDZICIK 0000727273operating

View on SEC.gov Company Profile

Filed

Jan 11, 7:00 PM ET

Accepted

Jan 12, 5:48 PM ET

Size

25.6 KB

Accession

0001191901-11-000001

Insider Transaction Report

Form 4

Period: 2010-01-21

CADIZ INCCDZI

SHAHEEN TIMOTHY J

DirectorChief Financial Officer

Transactions

Gift
Common Stock
2010-01-21+2,000→ 2,000 total(indirect: By Trust)
Award
Common Stock
2011-01-10+40,000→ 103,663 total
Gift
Common Stock
2011-01-11−1,663→ 102,000 total
Sale
Common Stock
2011-01-11$12.15/sh−2,000$24,300→ 1,663 total(indirect: By Trust)
Gift
Common Stock
2011-01-11−2,000→ 100,000 total
Sale
Common Stock
2011-01-11$12.15/sh−2,000$24,300→ 2,000 total(indirect: By Trust)
Gift
Common Stock
2010-01-21+2,000→ 2,000 total(indirect: By Trust)
Gift
Common Stock
2010-01-21−2,000→ 65,663 total
Gift
Common Stock
2010-01-21−2,000→ 63,663 total
Gift
Common Stock
2011-01-11+1,663→ 3,663 total(indirect: By Trust)
Gift
Common Stock
2011-01-11+2,000→ 4,000 total(indirect: By Trust)
Award
Employee Stock Option (right to buy)
2010-01-14+100,000→ 100,000 total
Exercise: $11.50Exp: 2020-01-14→ Common Stock (100,000 underlying)

Footnotes (10)

[F1]2,000 shares were gifted by the Reporting Person to a trust for the benefit of the Reporting Person's son. The Reporting Person is custodian of this trust. The Reporting Person disclaims beneficial ownership of these securities.
[F10]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.
[F2]Includes 30,000 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.
[F3]2,000 shares were gifted by the Reporting Person to a trust for the benefit of the Reporting Person's daughter. The Reporting Person is custodian of this trust. The Reporting Person disclaims beneficial ownership of these securities.
[F4]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.
[F5]1,663 shares were gifted by the Reporting Person to a trust for the benefit of the Reporting Person's son. The Reporting Person is custodian of this trust. The Reporting Person disclaims beneficial ownership of these securities.
[F6]2,000 shares were sold by a trust for the benefit of the Reporting Person's son. The Reporting Person is custodian of this trust. The Reporting Person disclaims beneficial ownership of these securities.
[F7]2,000 shares were gifted by the Reporting Person to a trust for the benefit of the Reporting Person's daughter. The Reporting Person is custodian of this trust. The Reporting Person disclaims beneficial ownership of these securities.
[F8]2,000 shares were sold by a trust for the benefit of the Reporting Person's daughter. The Reporting Person is custodian of this trust. The Reporting Person disclaims beneficial ownership of these securities.
[F9]Previously reported.

Documents

1 file

4
primary_doc.xmlPrimary
PRIMARY DOCUMENT

Issuer

CADIZ INC

CIK 0000727273

→

Entity typeoperating

IncorporatedDE

Related Parties

filerCIK 0000727273

Filing Metadata

Form type: 4
Filed: Jan 11, 7:00 PM ET
Accepted: Jan 12, 5:48 PM ET
Size: 25.6 KB

View on SEC.gov