Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CADIZ INCCDZI · Entity 5819 | Director | April 03, 2023 | April 05, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CADIZ INC
Report date April 03, 2023 · Filed April 05, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,933,701 |
Reported balance
After 2023-04-03 transaction · row 1
1 source rowRow 1 · 2023-04-03 · Grant · Acquired 4,699 · Balance 1,933,701 F1: 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, 2023. |
Filing footnotes · ownership attribution and instrument terms
F1: 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, 2023.
Transaction history
JSON APIPurchases/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 | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 03, 2023 Filed Apr 5, 2023 19:51 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 4,699 | $3.99 | $18,749.01 |
DisclosureSEC source: 0000923876-23-000004 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,933,701 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, 2023. Read SEC document |
| January 03, 2023 Filed Jan 5, 2023 01:00 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 7,396 | $2.54 | $18,748.86 |
DisclosureSEC source: 0001854939-23-000002 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,929,002 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, 2023. F2 · balance_after: Includes 5,670 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 6-month period ended June 30, 2022, which shares will vest on January 31, 2023. Read SEC document |
| October 03, 2022 Filed Oct 5, 2022 16:42 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 10,081 | $1.86 | $18,750.66 |
DisclosureSEC source: 0000923876-22-000015 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,921,606 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, 2022. F2 · balance_after: Includes 5,670 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 6-month period ended June 30, 2022, which shares will vest on January 31, 2023. Read SEC document |
| July 12, 2022 Filed Jul 14, 2022 13:31 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 5,670 | $2.21 | $12,502.35 |
DisclosureSEC source: 0000923876-22-000012 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,911,525 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 6-month period ended June 30, 2022, which shares will vest on January 31, 2023. Read SEC document |
| July 01, 2022 Filed Jul 6, 2022 21:01 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 7,764 | $2.42 | $18,750.06 |
DisclosureSEC source: 0000923876-22-000010 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,905,855 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 July 1, 2022. Read SEC document |
| April 12, 2022 Filed Apr 12, 2022 18:19 UTC | CADIZ INC CDZI · Entity 5819 | PurchaseCommon Stock | 100,000 | $1.95 | $194,870.00 |
DisclosureSEC source: 0000923876-22-000008 · primary_doc.xml · nonDerivative · entry 2 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,898,091 F1 · price: This transaction was executed in multiple trades. 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. Read SEC document |
| April 11, 2022 Filed Apr 12, 2022 18:19 UTC | CADIZ INC CDZI · Entity 5819 | PurchaseCommon Stock | 100,000 | $2.00 | $199,570.00 |
DisclosureSEC source: 0000923876-22-000008 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,798,091 F1 · price: This transaction was executed in multiple trades. 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. Read SEC document |
| April 01, 2022 Filed Apr 5, 2022 19:43 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 9,036 | $2.08 | $18,749.70 |
DisclosureSEC source: 0000923876-22-000007 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,698,091 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, 2022. Read SEC document |
| March 20, 2022 Filed Mar 22, 2022 19:21 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 1,142,857 | $1.75 | $1,999,999.75 |
DisclosureSEC source: 0000923876-22-000005 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,689,055 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. Read SEC document |
| February 04, 2022 Filed Feb 8, 2022 18:41 UTC | CADIZ INC CDZI · Entity 5819 | Exercise / conversionRestricted Stock Units · Derivative | 170,000 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| February 04, 2022 Filed Feb 8, 2022 18:41 UTC | CADIZ INC CDZI · Entity 5819 | Exercise / conversionCommon Stock | 170,000 | Not disclosed | Not disclosed |
DisclosureSEC 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. Read SEC document |
| December 15, 2021 Filed Dec 16, 2021 15:07 UTC | CADIZ INC CDZI · Entity 5819 | PurchaseCommon Stock | 30,000 | $3.78 | $113,400.00 |
DisclosureSEC 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 Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 19:00 UTC | CADIZ INC CDZI · Entity 5819 | PurchaseCommon Stock | 25,000 | $3.60 | $90,000.00 |
DisclosureSEC 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 Read SEC document |
| December 10, 2021 Filed Dec 13, 2021 15:13 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 50,000 | $3.98 | $199,000.00 |
DisclosureSEC 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. Read SEC document |
| December 07, 2021 Filed Dec 8, 2021 16:53 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 29,900 | $4.10 | $122,590.00 |
DisclosureSEC 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. Read SEC document |
| December 06, 2021 Filed Dec 8, 2021 16:53 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 20,100 | $3.98 | $79,998.00 |
DisclosureSEC 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. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 17:40 UTC | CADIZ INC CDZI · Entity 5819 | Exercise / conversionRestricted Stock Units · Derivative | 85,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| August 13, 2021 Filed Aug 17, 2021 17:40 UTC | CADIZ INC CDZI · Entity 5819 | Exercise / conversionCommon Stock | 55,802 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| April 26, 2021 Filed Apr 28, 2021 23:50 UTC | CADIZ INC CDZI · Entity 5819 | GrantRestricted Stock Units · Derivative | 255,000 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| March 05, 2020 Filed Mar 10, 2020 00:54 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 20,387 | $9.81 | $199,996.47 |
DisclosureSEC source: 0001191901-20-000002 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,387 Read SEC document |
| October 03, 2018 Filed Feb 13, 2019 21:00 UTC | CADIZ INC CDZI · Entity 5819 | 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 |
| November 24, 2017 Filed Feb 8, 2018 21:50 UTC | CADIZ INC CDZI · Entity 5819 | 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 | CADIZ INC CDZI · Entity 5819 | 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 |
| September 14, 2017 Filed Feb 8, 2018 21:50 UTC | CADIZ INC CDZI · Entity 5819 | 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 |
| June 07, 2017 Filed Feb 8, 2018 21:50 UTC | CADIZ INC CDZI · Entity 5819 | 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 |
| June 07, 2017 Filed Feb 8, 2018 21:50 UTC | CADIZ INC CDZI · Entity 5819 | Exercise / conversionCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001191901-18-000002 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 285,000 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 |
| January 05, 2017 Filed Jan 6, 2017 23:39 UTC | CADIZ INC CDZI · Entity 5819 | SaleCommon Stock | 50,000 | $12.70 | $635,000.00 |
DisclosureSEC source: 0001191901-17-000002 · primary_doc.xml · nonDerivative · entry 1 BRACKPOOL KEITH · CIK 0000923876 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,000 F1 · shares: Pursuant to a sales plan established in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended (the "Plan"), and in accordance with that certain Lockup Agreement, dated December 1, 2016, delivered by Mr. Brackpool to B. Riley & Co. LLC, 50,000 shares of the Company's common stock (the "Shares") were sold for the account of Mr. Brackpool for the purpose of meeting Mr. Brackpool's tax obligations arising from certain equity awards granted by the Company to Mr. Brackpool. The Shares represent the full amount authorized for sale under the Plan. 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.