Filing Details

Accession Number:
0000902664-18-004323
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-12-12 16:19:09
Reporting Period:
2018-12-10
Accepted Time:
2018-12-12 16:19:09
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
727273 Cadiz Inc CDZI Water Supply (4941) 770313235
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1423875 Water Asset Management Llc 509 Madison Avenue
Suite 804
New York NY 10022
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, Par Value $0.01 ("Common Stock") Acquisiton 2018-12-10 111,000 $9.88 3,078,162 No 4 P Indirect See footnote
Common Stock Disposition 2018-12-10 111,000 $9.84 2,967,162 No 4 S Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
No 4 S Indirect See footnote
Footnotes
  1. Rebalancing transactions in which the Accounts (as defined below) purchased and sold the Common Stock in equal amounts with no change in the aggregate number of such shares of Common Stock owned by the Accounts as a result of such transactions.
  2. The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.76 to $10.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.
  3. The securities reported herein are directly held by investment funds and/or managed accounts (the "Accounts") for which Water Asset Management, LLC, a New York limited liability company (the "Reporting Person"), serves as investment manager. The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein.
  4. The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.73 to $9.98, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.