Last 12 months
Inside the activity.
1 purchase rows · 1 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 1 | 1 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 03, 2018 Filed Oct 5, 2018 17:47 UTC |
Grant Geoffrey TDirector
|
GrantCommon Stock | 676 | $11.10 | $7,503.60 |
DisclosureSEC source: 0000923876-18-000004 · primary_doc.xml · nonDerivative · entry 1 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,230 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. F2 · balance_after: Includes 1,573 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares vest on January 31, 2019. Read SEC document |
| October 03, 2018 Filed Oct 5, 2018 17:37 UTC |
HUTCHISON MURRAY HDirector
|
GrantCommon Stock | 676 | $11.10 | $7,503.60 |
DisclosureSEC source: 0000923876-18-000003 · primary_doc.xml · nonDerivative · entry 1 HUTCHISON MURRAY H · CIK 0001189957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,942 F1 · shares: These shares were allocated to the Reporting Person under the 2015 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, 2018. F2 · balance_after: Includes 1,573 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares vest on January 31, 2019. Read SEC document |
| October 03, 2018 Filed Oct 5, 2018 17:23 UTC |
Nevins RichardDirector
|
GrantCommon Stock | 676 | $11.10 | $7,503.60 |
DisclosureSEC source: 0000923876-18-000002 · primary_doc.xml · nonDerivative · entry 1 Nevins Richard · CIK 0001408441 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,901 F1 · shares: These shares were allocated to the Reporting Person under the 2015 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, 2018. F2 · balance_after: Includes 1,573 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares vest on January 31, 2019. Read SEC document |
| October 03, 2018 Filed Oct 5, 2018 17:14 UTC |
BROWN JEFFREY JDirector
|
GrantCommon Stock | 676 | $11.10 | $7,503.60 |
DisclosureSEC source: 0000923876-18-000001 · primary_doc.xml · nonDerivative · entry 1 BROWN JEFFREY J · CIK 0001245377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,207 F1 · shares: These shares were allocated to the Reporting Person under the 2015 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, 2018. F2 · balance_after: Includes 393 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 3-month period ended June 30, 2018, which shares vest on January 31, 2019. Read SEC document |
| October 03, 2018 Filed Feb 13, 2019 21:00 UTC |
BRACKPOOL KEITHDirector
|
GiftCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000923876-19-000001 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 Read SEC document |
| July 01, 2018 Filed Jul 2, 2018 22:10 UTC |
BROWN JEFFREY JDirector
|
GrantCommon Stock | 574 | $13.08 | $7,505.05 |
DisclosureSEC source: 0001189957-18-000007 · primary_doc.xml · nonDerivative · entry 2 BROWN JEFFREY J · CIK 0001245377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,531 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. F2 · balance_after: Includes 393 shares allocated to the Report Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 3-month period ended June 30, 2018, which shares will vest on January 31, 2019. Read SEC document |
| July 01, 2018 Filed Jul 2, 2018 22:03 UTC |
Nevins RichardDirector
|
GrantCommon Stock | 574 | $13.08 | $7,505.05 |
DisclosureSEC source: 0001189957-18-000006 · primary_doc.xml · nonDerivative · entry 2 Nevins Richard · CIK 0001408441 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,225 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. F2 · balance_after: Includes 1,573 shares allocated to the Report Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares will vest on January 31, 2019. Read SEC document |
| July 01, 2018 Filed Jul 2, 2018 21:56 UTC |
Grant Geoffrey TDirector
|
GrantCommon Stock | 574 | $13.08 | $7,505.05 |
DisclosureSEC source: 0001189957-18-000005 · primary_doc.xml · nonDerivative · entry 2 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,554 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. F2 · balance_after: Includes 1,573 shares allocated to the Report Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares will vest on January 31, 2019. Read SEC document |
| July 01, 2018 Filed Jul 2, 2018 21:48 UTC |
HUTCHISON MURRAY HDirector
|
GrantCommon Stock | 574 | $13.08 | $7,505.05 |
DisclosureSEC source: 0001189957-18-000004 · primary_doc.xml · nonDerivative · entry 2 HUTCHISON MURRAY H · CIK 0001189957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,266 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. F2 · balance_after: Includes 1,573 shares allocated to the Report Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares will vest on January 31, 2019. Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 22:10 UTC |
BROWN JEFFREY JDirector
|
GrantCommon Stock | 393 | $12.71 | $4,995.03 |
DisclosureSEC source: 0001189957-18-000007 · primary_doc.xml · nonDerivative · entry 1 BROWN JEFFREY J · CIK 0001245377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 957 Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 22:03 UTC |
Nevins RichardDirector
|
GrantCommon Stock | 1,573 | $12.71 | $19,992.83 |
DisclosureSEC source: 0001189957-18-000006 · primary_doc.xml · nonDerivative · entry 1 Nevins Richard · CIK 0001408441 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,651 Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 21:56 UTC |
Grant Geoffrey TDirector
|
GrantCommon Stock | 1,573 | $12.71 | $19,992.83 |
DisclosureSEC source: 0001189957-18-000005 · primary_doc.xml · nonDerivative · entry 1 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,980 Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 21:48 UTC |
HUTCHISON MURRAY HDirector
|
GrantCommon Stock | 1,573 | $12.71 | $19,992.83 |
DisclosureSEC source: 0001189957-18-000004 · primary_doc.xml · nonDerivative · entry 1 HUTCHISON MURRAY H · CIK 0001189957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,692 Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 18:13 UTC |
COURTER STEPHEN EDirector
|
GrantCommon Stock | 1,573 | $12.71 | $19,992.83 |
DisclosureSEC source: 0001205303-18-000007 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,948 F1 · balance_after: Includes 1,573 shares allocated to the Report Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares will vest on January 31, 2019. Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 18:07 UTC |
Hickox Winston HDirector
|
GrantCommon Stock | 1,573 | $12.71 | $19,992.83 |
DisclosureSEC source: 0001205303-18-000006 · primary_doc.xml · nonDerivative · entry 1 Hickox Winston H · CIK 0001299311 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,765 F1 · balance_after: Includes 1,573 shares allocated to the Report Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares will vest on January 31, 2019. Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 18:03 UTC |
Pacini Raymond JDirector
|
GrantCommon Stock | 1,573 | $12.71 | $19,992.83 |
DisclosureSEC source: 0001205303-18-000005 · primary_doc.xml · nonDerivative · entry 1 Pacini Raymond J · CIK 0001331313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,676 F1 · balance_after: Includes 1,573 shares allocated to the Report Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2018, which shares will vest on January 31, 2019. Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 17:41 UTC |
BOHN JOHN ADirector
|
GrantCommon Stock | 393 | $12.71 | $4,995.03 |
DisclosureSEC source: 0001205303-18-000004 · primary_doc.xml · nonDerivative · entry 1 BOHN JOHN A · CIK 0001205303 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 893 F1 · balance_after: Includes 393 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 3-month period ended June 30, 2018, which shares will vest on January 31, 2019. Read SEC document |
| June 13, 2018 Filed Jun 15, 2018 19:37 UTC |
BROWN JEFFREY JDirector
|
GrantCommon Stock | 564 | $13.30 | $7,501.20 |
DisclosureSEC source: 0001408441-18-000004 · primary_doc.xml · nonDerivative · entry 1 BROWN JEFFREY J · CIK 0001245377 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 564 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. Read SEC document |
| May 25, 2018 Filed Jun 4, 2018 21:21 UTC |
Water Asset Management LLC10% owner
|
SaleCommon Stock | 531,918 | $12.46 | $6,627,698.28 |
DisclosureSEC source: 0000902664-18-002476 · p18-1286form4.xml · nonDerivative · entry 2 Water Asset Management LLC · CIK 0001423875 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,967,162 F1 · shares: 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. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.45 to $12.65, 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. F3 · ownership.nature: 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. Read SEC document |
| May 25, 2018 Filed Jun 4, 2018 21:21 UTC |
Water Asset Management LLC10% owner
|
PurchaseCommon Stock, par value $0.01 ("Common Stock") | 531,918 | $12.47 | $6,633,017.46 |
DisclosureSEC source: 0000902664-18-002476 · p18-1286form4.xml · nonDerivative · entry 1 Water Asset Management LLC · CIK 0001423875 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 3,499,080 F1 · shares: 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. F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.43 to $12.60, 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. F3 · ownership.nature: 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. Read SEC document |
| April 01, 2018 Filed Apr 4, 2018 01:43 UTC |
Grant Geoffrey TDirector
|
GrantCommon Stock | 564 | $13.30 | $7,501.20 |
DisclosureSEC source: 0001408441-18-000003 · primary_doc.xml · nonDerivative · entry 2 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,407 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 19:51 UTC |
HUTCHISON MURRAY HDirector
|
GrantCommon Stock | 564 | $13.30 | $7,501.20 |
DisclosureSEC source: 0001408441-18-000002 · primary_doc.xml · nonDerivative · entry 1 HUTCHISON MURRAY H · CIK 0001189957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,119 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. Read SEC document |
| April 01, 2018 Filed Apr 3, 2018 19:46 UTC |
Nevins RichardDirector
|
GrantCommon Stock | 564 | $13.30 | $7,501.20 |
DisclosureSEC source: 0001408441-18-000001 · primary_doc.xml · nonDerivative · entry 1 Nevins Richard · CIK 0001408441 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,078 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. Read SEC document |
| March 19, 2018 Filed Apr 4, 2018 01:43 UTC |
Grant Geoffrey TDirector
|
GiftCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001408441-18-000003 · primary_doc.xml · nonDerivative · entry 1 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,843 Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 23:35 UTC |
Nevins RichardDirector
|
GrantCommon Stock | 528 | $14.20 | $7,497.60 |
DisclosureSEC source: 0001189957-18-000003 · primary_doc.xml · nonDerivative · entry 1 Nevins Richard · CIK 0001408441 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,514 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 23:28 UTC |
Grant Geoffrey TDirector
|
GrantCommon Stock | 528 | $14.20 | $7,497.60 |
DisclosureSEC source: 0001189957-18-000002 · primary_doc.xml · nonDerivative · entry 1 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,843 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 23:21 UTC |
HUTCHISON MURRAY HDirector
|
GrantCommon Stock | 528 | $14.20 | $7,497.60 |
DisclosureSEC source: 0001189957-18-000001 · primary_doc.xml · nonDerivative · entry 1 HUTCHISON MURRAY H · CIK 0001189957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,555 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2018. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| December 19, 2017 Filed Feb 8, 2018 21:14 UTC |
SHAHEEN TIMOTHY JDirector · CFO
|
GiftCommon Stock | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-18-000001 · primary_doc.xml · nonDerivative · entry 1 SHAHEEN TIMOTHY J · CIK 0001191901 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,500 Read SEC document |
| November 24, 2017 Filed Feb 8, 2018 21:50 UTC |
BRACKPOOL KEITHDirector
|
GiftCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-18-000002 · primary_doc.xml · nonDerivative · entry 4 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,000 Read SEC document |
| October 11, 2017 Filed Feb 8, 2018 21:50 UTC |
BRACKPOOL KEITHDirector
|
GiftCommon Stock | 40,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-18-000002 · primary_doc.xml · nonDerivative · entry 3 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,000 Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:17 UTC |
Nevins RichardDirector
|
GrantCommon Stock | 587 | $12.78 | $7,498.93 |
DisclosureSEC source: 0001408441-17-000001 · primary_doc.xml · nonDerivative · entry 1 Nevins Richard · CIK 0001408441 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,986 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2017. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 20:00 UTC |
Water Asset Management LLC10% owner
|
OtherCommon Stock | 8,541 | $12.50 | $106,762.50 |
DisclosureSEC source: 0001144204-17-051507 · v476526_4.xml · nonDerivative · entry 1 Water Asset Management LLC · CIK 0001423875 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 2,967,162 F1 · kind: Cadiz Inc. (the "Company") issued the 8,541 shares of common stock of the Company subject to this Form 4 (the "Shares") to WPI-Cadiz Farm CA, LLC ("WPI-Cadiz Farm"), an affiliate of the Reporting Person, pursuant to that certain Settlement Agreement and Release, dated as of October 2, 2017, by and among the Company, Cadiz Real Estate LLC, WPI-Cadiz Farm and certain other parties thereto. F2 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed accounts for which 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. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 17:07 UTC |
Grant Geoffrey TDirector
|
GrantCommon Stock | 587 | $12.78 | $7,498.93 |
DisclosureSEC source: 0001189957-17-000007 · primary_doc.xml · nonDerivative · entry 1 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,315 F1 · shares: These shares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lieu of cash compensation for serviced rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning October 1, 2017. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| October 03, 2017 Filed Oct 5, 2017 17:00 UTC |
HUTCHISON MURRAY HDirector
|
GrantCommon Stock | 587 | $12.78 | $7,498.93 |
DisclosureSEC source: 0001189957-17-000006 · primary_doc.xml · nonDerivative · entry 1 HUTCHISON MURRAY H · CIK 0001189957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,027 F1 · shares: These hares were allocated to the Reporting Person under the 2014 Equity Incentive Plan in lie of cash compensation for services rendered by the Reporting Person as a director of the Issuer for the 3-month period beginning October 1, 2017. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| September 21, 2017 Filed Sep 25, 2017 18:01 UTC |
SHAHEEN TIMOTHY JDirector · CFO
|
SaleCommon Stock | 50,000 | $12.30 | $615,000.00 |
DisclosureSEC source: 0001191901-17-000004 · primary_doc.xml · nonDerivative · entry 2 SHAHEEN TIMOTHY J · CIK 0001191901 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,500 Read SEC document |
| September 14, 2017 Filed Feb 8, 2018 21:50 UTC |
BRACKPOOL KEITHDirector
|
GiftCommon Stock | 35,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-18-000002 · primary_doc.xml · nonDerivative · entry 2 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,000 Read SEC document |
| August 14, 2017 Filed Sep 25, 2017 18:01 UTC |
SHAHEEN TIMOTHY JDirector · CFO
|
GiftCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-17-000004 · primary_doc.xml · nonDerivative · entry 1 SHAHEEN TIMOTHY J · CIK 0001191901 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,500 Read SEC document |
| July 01, 2017 Filed Jul 3, 2017 21:48 UTC |
Nevins RichardDirector
|
GrantCommon Stock | 559 | $13.43 | $7,504.58 |
DisclosureSEC source: 0001189957-17-000005 · primary_doc.xml · nonDerivative · entry 2 Nevins Richard · CIK 0001408441 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,399 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2017. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| July 01, 2017 Filed Jul 3, 2017 21:38 UTC |
Grant Geoffrey TDirector
|
GrantCommon Stock | 559 | $13.43 | $7,504.58 |
DisclosureSEC source: 0001189957-17-000004 · primary_doc.xml · nonDerivative · entry 2 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,728 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2017. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| July 01, 2017 Filed Jul 3, 2017 21:28 UTC |
HUTCHISON MURRAY HDirector
|
GrantCommon Stock | 559 | $13.43 | $7,504.58 |
DisclosureSEC source: 0001189957-17-000003 · primary_doc.xml · nonDerivative · entry 2 HUTCHISON MURRAY H · CIK 0001189957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,440 F1 · shares: These shares were allocated to the Reporting Person under the 2014 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, 2017. F2 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 21:48 UTC |
Nevins RichardDirector
|
GrantCommon Stock | 1,449 | $0.00 | $0.00 |
DisclosureSEC source: 0001189957-17-000005 · primary_doc.xml · nonDerivative · entry 1 Nevins Richard · CIK 0001408441 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,840 Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 21:38 UTC |
Grant Geoffrey TDirector
|
GrantCommon Stock | 1,449 | $0.00 | $0.00 |
DisclosureSEC source: 0001189957-17-000004 · primary_doc.xml · nonDerivative · entry 1 Grant Geoffrey T · CIK 0001387874 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,169 Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 21:28 UTC |
HUTCHISON MURRAY HDirector
|
GrantCommon Stock | 1,449 | $0.00 | $0.00 |
DisclosureSEC source: 0001189957-17-000003 · primary_doc.xml · nonDerivative · entry 1 HUTCHISON MURRAY H · CIK 0001189957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,881 Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 17:56 UTC |
Hickox Winston HDirector
|
GrantCommon Stock | 1,449 | $0.00 | $0.00 |
DisclosureSEC source: 0001331313-17-000003 · primary_doc.xml · nonDerivative · entry 1 Hickox Winston H · CIK 0001299311 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,192 F1 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 17:44 UTC |
COURTER STEPHEN EDirector
|
GrantCommon Stock | 1,449 | $0.00 | $0.00 |
DisclosureSEC source: 0001331313-17-000002 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,375 F1 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 17:34 UTC |
Pacini Raymond JDirector
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GrantCommon Stock | 1,449 | $0.00 | $0.00 |
DisclosureSEC source: 0001331313-17-000001 · primary_doc.xml · nonDerivative · entry 1 Pacini Raymond J · CIK 0001331313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,103 F1 · balance_after: Includes 1,449 shares allocated to the Reporting Person under the 2014 Equity Incentive Plan for services rendered by the Reporting Person as a director of the Issuer for the 12-month period ended June 30, 2017, which shares will vest on January 31, 2018. Read SEC document |
| June 21, 2017 Filed Jun 22, 2017 18:31 UTC |
SHAHEEN TIMOTHY JDirector · CFO
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SaleCommon Stock | 50,000 | $13.00 | $650,000.00 |
DisclosureSEC source: 0001191901-17-000003 · primary_doc.xml · nonDerivative · entry 3 SHAHEEN TIMOTHY J · CIK 0001191901 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,500 F2 · shares: Sold by the Reporting Person for the purpose of meeting tax obligations arising from the vesting of RSUs as described in Footnote 1 above. Read SEC document |
| June 07, 2017 Filed Jun 22, 2017 18:31 UTC |
SHAHEEN TIMOTHY JDirector · CFO
|
Exercise / conversionRestricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-17-000003 · primary_doc.xml · derivative · entry 5 SHAHEEN TIMOTHY J · CIK 0001191901 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 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. F4 · derivative.exercise_price: Each previously reported RSU represented a contingent right to receive one share of Cadiz Inc. common stock, with right vested June 7, 2017. F4 · derivative.exercise_date: Each previously reported RSU represented a contingent right to receive one share of Cadiz Inc. common stock, with right vested June 7, 2017. F4 · derivative.expiration_date: Each previously reported RSU represented a contingent right to receive one share of Cadiz Inc. common stock, with right vested June 7, 2017. Read SEC document |
| June 07, 2017 Filed Jun 22, 2017 18:31 UTC |
SHAHEEN TIMOTHY JDirector · CFO
|
Exercise / conversionCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-17-000003 · primary_doc.xml · nonDerivative · entry 2 SHAHEEN TIMOTHY J · CIK 0001191901 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,500 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 vesting of 100,000 previously reported restricted stock units ("RSUs"). Read SEC document |
| June 07, 2017 Filed Feb 8, 2018 21:50 UTC |
BRACKPOOL KEITHDirector
|
Exercise / conversionRestricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-18-000002 · primary_doc.xml · derivative · entry 6 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 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. F3 · derivative.exercise_price: Each previously reported RSU represented a contingent right to receive one share of Cadiz Inc. common stock, which right vested June 7, 2017. F3 · derivative.exercise_date: Each previously reported RSU represented a contingent right to receive one share of Cadiz Inc. common stock, which right vested June 7, 2017. F3 · derivative.expiration_date: Each previously reported RSU represented a contingent right to receive one share of Cadiz Inc. common stock, which right vested June 7, 2017. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.