CDZI

SEC source: 0000923876-22-000004 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,567

F1 · shares: These shares were issued under a Securities Purchase Agreement dated March 20, 2022, between the Issuer and certain purchasers including the Reporting Person in connection to a registered direct offering reported on the Issuer's Current Report on Form 8-K filed on March 21, 2022. The issuance of these shares has been approved by the Issuer's Board of Directors and the disinterested members of the Audit and Risk Committee of the Board.

SEC source: 0000923876-22-000002 · primary_doc.xml · derivative · entry 2

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 170,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Each previously reported Restricted Stock Unit ("RSU") represented a contingent right to receive one share of the Issuer's common stock. Vesting of these RSUs was accelerated by mutual agreement effective February 4, 2022.

F1 · price: Each previously reported Restricted Stock Unit ("RSU") represented a contingent right to receive one share of the Issuer's common stock. Vesting of these RSUs was accelerated by mutual agreement effective February 4, 2022.

F1 · derivative.exercise_date: Each previously reported Restricted Stock Unit ("RSU") represented a contingent right to receive one share of the Issuer's common stock. Vesting of these RSUs was accelerated by mutual agreement effective February 4, 2022.

F1 · derivative.expiration_date: Each previously reported Restricted Stock Unit ("RSU") represented a contingent right to receive one share of the Issuer's common stock. Vesting of these RSUs was accelerated by mutual agreement effective February 4, 2022.

SEC source: 0000923876-22-000002 · primary_doc.xml · nonDerivative · entry 1

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 546,198

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Each previously reported Restricted Stock Unit ("RSU") represented a contingent right to receive one share of the Issuer's common stock. Vesting of these RSUs was accelerated by mutual agreement effective February 4, 2022.

SEC source: 0000923876-22-000003 · primary_doc.xml · derivative · entry 2

Kennedy Susan P · CIK 0001854939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2027-02-04

F1 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of the Issuer's common stock. 200,000 of the performance rights vest upon the Issuer's common stock achieving a market price of $7 per share; 150,000 vest upon the Issuer's common stock achieving a market price of $9 per share; 50,000 vest upon the Issuer's common stock achieving a market price of $11 per share, and 50,000 vest upon the Issuer's common stock achieving a market price of $13 per share. Performance rights are payable in the form of either cash or common stock registered under a stockholder approved equity incentive plan under which a sufficient number of shares of common stock then remains available for issuance.

F1 · derivative.exercise_date: Each performance right represents a contingent right to receive one share of the Issuer's common stock. 200,000 of the performance rights vest upon the Issuer's common stock achieving a market price of $7 per share; 150,000 vest upon the Issuer's common stock achieving a market price of $9 per share; 50,000 vest upon the Issuer's common stock achieving a market price of $11 per share, and 50,000 vest upon the Issuer's common stock achieving a market price of $13 per share. Performance rights are payable in the form of either cash or common stock registered under a stockholder approved equity incentive plan under which a sufficient number of shares of common stock then remains available for issuance.

F2 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested.

SEC source: 0001854939-22-000001 · primary_doc.xml · derivative · entry 2

Kennedy Susan P · CIK 0001854939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2027-02-04

F2 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of the Issuer's common stock. 200,000 of the performance rights vest upon the Issuer's common stock achieving a market price of $7 per share; 150,000 vest upon the Issuer's common stock achieving a market price of $9 per share; 50,000 vest upon the Issuer's common stock achieving a market price of $11 per share, and 50,000 vest upon the Issuer's common stock achieving a market price of $13 per share. Performance rights are payable in the form of either cash or common stock registered under a stockholder approved equity incentive plan under which a sufficient number of shares of common stock then remains available for issuance.

F2 · derivative.exercise_date: Each performance right represents a contingent right to receive one share of the Issuer's common stock. 200,000 of the performance rights vest upon the Issuer's common stock achieving a market price of $7 per share; 150,000 vest upon the Issuer's common stock achieving a market price of $9 per share; 50,000 vest upon the Issuer's common stock achieving a market price of $11 per share, and 50,000 vest upon the Issuer's common stock achieving a market price of $13 per share. Performance rights are payable in the form of either cash or common stock registered under a stockholder approved equity incentive plan under which a sufficient number of shares of common stock then remains available for issuance.

F3 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested.

SEC source: 0000923876-22-000001 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,853

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3 month period beginning January 1, 2022.

F2 · balance_after: Includes 1,899 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0000923876-21-000014 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,206

F1 · price: This transaction was executed in multiple trades at prices ranging from $4.19 to $4.34. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes 1,899 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0000923876-21-000013 · primary_doc.xml · nonDerivative · entry 1

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,198

SEC source: 0000923876-21-000012 · primary_doc.xml · nonDerivative · entry 1

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,198

SEC source: 0000923876-21-000011 · primary_doc.xml · nonDerivative · entry 1

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,198

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.975 to $4.00. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000923876-21-000010 · primary_doc.xml · nonDerivative · entry 2

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,206

F2 · price: This transaction was executed in multiple trades at prices ranging from $4.15 to $4.56. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000923876-21-000010 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,117

F1 · price: This transaction was executed in multiple trades at prices ranging from $3.90 to $4.10. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000923876-21-000009 · primary_doc.xml · nonDerivative · entry 2

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,198

F2 · shares: This transaction was executed in multiple trades at prices ranging from $3.97 to $4.22. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000923876-21-000009 · primary_doc.xml · nonDerivative · entry 1

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,298

F1 · shares: This transaction was executed in multiple trades at prices ranging from $3.79 to $4.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000923876-21-000008 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,206

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3 month period beginning October 1, 2021.

F2 · balance_after: Includes 1,899 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0000923876-21-000007 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,510

F1 · balance_after: Includes 1,899 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0000923876-21-000006 · primary_doc.xml · derivative · entry 2

SPEER STANLEY E · CIK 0001191897 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 42,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each previously reported RSU represents a contingent right to receive one share of Cadiz Inc. common stock.

F1 · shares: Represents the vesting of 42,500 previously reported restricted stock units ("RSUs") and the concurrent issuance of a net of 20,124 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

F3 · derivative.exercise_date: 42,500 of these RSUs owned following the reported transaction will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and 42,500 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F3 · derivative.expiration_date: 42,500 of these RSUs owned following the reported transaction will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and 42,500 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F4 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested.

SEC source: 0000923876-21-000006 · primary_doc.xml · nonDerivative · entry 1

SPEER STANLEY E · CIK 0001191897 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,460

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the vesting of 42,500 previously reported restricted stock units ("RSUs") and the concurrent issuance of a net of 20,124 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

SEC source: 0000923876-21-000004 · primary_doc.xml · derivative · entry 2

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock · 85,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each previously reported RSU represents a contingent right to receive one share of Cadiz Inc. common stock.

F1 · shares: Represents the vesting of 85,000 previously reported restricted stock units ("RSUs") and the concurrent issuance of a net of 55,802 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

F3 · derivative.exercise_date: 85,000 of these RSUs owned following the reported transaction will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F3 · derivative.expiration_date: 85,000 of these RSUs owned following the reported transaction will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F4 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested.

SEC source: 0000923876-21-000004 · primary_doc.xml · nonDerivative · entry 1

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,198

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the vesting of 85,000 previously reported restricted stock units ("RSUs") and the concurrent issuance of a net of 55,802 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

SEC source: 0000923876-21-000005 · primary_doc.xml · derivative · entry 2

Slater Scott S · CIK 0001519037 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,000

Underlying: Common Stock · 85,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_price: Each previously reported RSU represents a contingent right to receive one share of Cadiz Inc. common stock.

F3 · derivative.exercise_date: 85,000 of these RSUs owned following the reported transaction will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F3 · derivative.expiration_date: 85,000 of these RSUs owned following the reported transaction will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F4 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested.

SEC source: 0000923876-21-000005 · primary_doc.xml · nonDerivative · entry 1

Slater Scott S · CIK 0001519037 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,634

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: Represents the vesting of 85,000 previously reported restricted stock units ("RSUs") and the concurrent issuance of a net of 40,247 shares of common stock as a consequence of such vesting, after giving effect to tax withholding as permitted under the approved terms applicable to the grant of the RSUs.

SEC source: 0001131058-21-000001 · primary_doc.xml · nonDerivative · entry 2

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,510

F3 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3 month period beginning July 1, 2021.

SEC source: 0001131058-21-000001 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,175

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0001782759-21-000003 · primary_doc.xml · nonDerivative · entry 1

COURTER STEPHEN E · CIK 0001131058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,098

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0001782759-21-000002 · primary_doc.xml · nonDerivative · entry 1

Kennedy Susan P · CIK 0001854939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 950

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0001782759-21-000001 · primary_doc.xml · nonDerivative · entry 1

Webb de Macias Carolyn D · CIK 0001782759 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,236

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0001783184-21-000002 · primary_doc.xml · nonDerivative · entry 1

Hickox Winston H · CIK 0001299311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,915

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0001783184-21-000001 · primary_doc.xml · nonDerivative · entry 1

Echaveste Maria · CIK 0001783184 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,236

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

SEC source: 0000727273-21-000005 · primary_doc.xml · nonDerivative · entry 1

Hickox Winston H · CIK 0001299311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,915

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2021, which shares will vest on January 31, 2022.

F2 · balance_after: The Reporting Person is amending the Form 4 originally filed on July 1, 2021 solely for the purpose of correcting a typographical error in the number of shares shown as beneficially owned by the Reporting Person following the reported transaction.

SEC source: 0000923876-21-000003 · primary_doc.xml · derivative · entry 2

Slater Scott S · CIK 0001519037 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 255,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Cadiz Inc. common stock.

F2 · derivative.exercise_date: 85,000 of these RSUs will vest upon obtaining a new senior secured loan in an amount sufficient to repay the Company's senior secured debt as well as obtaining funding to complete the purchase of the northern pipeline; 85,000 of these RSUs will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and, 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F2 · derivative.expiration_date: 85,000 of these RSUs will vest upon obtaining a new senior secured loan in an amount sufficient to repay the Company's senior secured debt as well as obtaining funding to complete the purchase of the northern pipeline; 85,000 of these RSUs will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and, 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F3 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested.

SEC source: 0000923876-21-000002 · primary_doc.xml · derivative · entry 2

SPEER STANLEY E · CIK 0001191897 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,500

Underlying: Common Stock · 127,500 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Cadiz Inc. common stock.

F2 · derivative.exercise_date: 42,500 of these RSUs will vest upon obtaining a new senior secured loan in an amount sufficient to repay the Company's senior secured debt as well as obtaining funding to complete the purchase of the northern pipeline; 42,500 of these RSUs will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and, 42,500 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F2 · derivative.expiration_date: 42,500 of these RSUs will vest upon obtaining a new senior secured loan in an amount sufficient to repay the Company's senior secured debt as well as obtaining funding to complete the purchase of the northern pipeline; 42,500 of these RSUs will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and, 42,500 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F3 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested.

SEC source: 0000923876-21-000001 · primary_doc.xml · derivative · entry 2

BRACKPOOL KEITH · CIK 0000923876 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,000

Underlying: Common Stock · 255,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Cadiz Inc. common stock.

F2 · derivative.exercise_date: 85,000 of these RSUs will vest upon obtaining a new senior secured loan in an amount sufficient to repay the Company's senior secured debt as well as obtaining funding to complete the purchase of the northern pipeline; 85,000 of these RSUs will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and, 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F2 · derivative.expiration_date: 85,000 of these RSUs will vest upon obtaining a new senior secured loan in an amount sufficient to repay the Company's senior secured debt as well as obtaining funding to complete the purchase of the northern pipeline; 85,000 of these RSUs will vest upon the Company's entering into final binding water supply agreements for delivery of at least 9,500 acre-feet per year; and, 85,000 of these RSUs will vest on March 1, 2023, subject to the Reporting Person's continuing employment as of such vesting date.

F3 · balance_after: The Reporting Person disclaims beneficial ownership of these securities until such time, and to the extent, that ownership of these securities has vested.

SEC source: 0001854939-21-000004 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,947

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning April 1, 2021.

SEC source: 0001854939-21-000003 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,988

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-mnth period beginning April 1, 2021.

SEC source: 0001854939-21-000002 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,276

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3 month period beginning April 1, 2021.

SEC source: 0001408441-21-000003 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,979

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2021.

F2 · balance_after: Includes 2,337 shares allocated to the Reporting Person under the 2019 Equity Incentive plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001408441-21-000002 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,691

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning January 1, 2021.

F2 · balance_after: Includes 2,337 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001408441-21-000001 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,650

F1 · shares: Shares allocated to the Report Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning January 1, 2021.

F2 · balance_after: Includes 2,337 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001189957-20-000007 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,462

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning October 1, 2020.

F2 · balance_after: Includes 2,337 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001189957-20-000006 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,791

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning October 1, 2020.

F2 · balance_after: Includes 2,337 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001189957-20-000005 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,503

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning October 1, 2020.

F2 · balance_after: Includes 2,337 shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001783184-20-000008 · primary_doc.xml · nonDerivative · entry 2

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,249

F2 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning July 1, 2020.

SEC source: 0001783184-20-000007 · primary_doc.xml · nonDerivative · entry 2

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,208

F2 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning July 1, 2020.

SEC source: 0001783184-20-000006 · primary_doc.xml · nonDerivative · entry 2

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,537

F2 · shares: These shares were allocated to the Reporting Person under the 2019 Equity Incentive Plan in lieu of cash compensation for services rendered as a director of the Issuer for the 3-month period beginning July 1, 2020.

SEC source: 0001783184-20-000008 · primary_doc.xml · nonDerivative · entry 1

HUTCHISON MURRAY H · CIK 0001189957 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,025

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001783184-20-000007 · primary_doc.xml · nonDerivative · entry 1

Nevins Richard · CIK 0001408441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,984

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001783184-20-000006 · primary_doc.xml · nonDerivative · entry 1

Grant Geoffrey T · CIK 0001387874 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,313

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001783184-20-000004 · primary_doc.xml · nonDerivative · entry 1

COURTER STEPHEN E · CIK 0001131058 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,199

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.

SEC source: 0001783184-20-000005 · primary_doc.xml · nonDerivative · entry 1

Hickox Winston H · CIK 0001299311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,016

F1 · shares: Shares allocated to the Reporting Person under the 2019 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2020, which shares will vest on January 31, 2021.