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CADIZ INC — Director's Dealing 2011
Jan 12, 2011
33061_dirs_2011-01-12_cc5ad1b3-dabc-4db5-856e-de72e54f6534.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CADIZ INC (CDZI)
CIK: 0000727273
Period of Report: 2011-01-10
Reporting Person: BRACKPOOL KEITH (Director, Chairman and CEO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2011-01-10 | Common Stock | A | 100000 | — | Acquired | 247436 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2005-05-04 | Employee Stock Options (right to buy) | $12 | A | 100000 | Acquired | 2015-05-04 | Common Stock (100000) | Direct |
| 2010-01-14 | Employee Stock Options (right to buy) | $11.5 | A | 200000 | Acquired | 2020-01-14 | Common Stock (200000) | Direct |
Footnotes
F1: 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.
F2: 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.
F3: Previously reported.
F4: 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.