Water Asset Management LLC

SEC source: 0000902664-19-003025 · ownership.xml · nonDerivative · entry 1

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,458,219

F1 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed 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.

SEC source: 0000902664-19-002090 · ownership.xml · derivative · entry 2

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 291,057 shares

Expires 2020-03-05

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_date: The Convertible Promissory Note issued pursuant to the Indenture, dated as of March 5, 2013 (the "Indenture"), between the Issuer and The Bank of New York Mellon Trust Company, N.A., as trustee, is convertible at any time at the conversion rate equivalent to 148.148 shares of the Issuer's common stock per $1,000 of the then accreted principal amount of the Convertible Promissory Note on the conversion date.

F1 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed 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.

SEC source: 0000902664-19-002090 · ownership.xml · nonDerivative · entry 1

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,258,219

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 · ownership.nature: The securities reported herein are directly held by investment funds and/or managed 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.

SEC source: 0000902664-18-004323 · ownership.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 $9.73 to $9.98, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth herein.

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.

SEC source: 0000902664-18-004323 · ownership.xml · nonDerivative · entry 1

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,078,162

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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $9.76 to $10.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

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.

SEC 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.

SEC 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.

SEC 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.

SEC source: 0001144204-17-012984 · v461208_form-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: 2,958,621

F1 · kind: Cadiz Inc. (the "Company") issued the 961 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 Interest Share Issuance Agreement, dated as of March 3, 2017, by and between the Company and WPI-Cadiz Farm.

F2 · kind: The Shares were issued, at the Company's election, as payment of the accrued but unpaid interest due and owing as of March 5, 2017 under that certain Fifth Amendment to Amended and Restated Credit Agreement, dated as of November 29, 2016 (the "Fifth Amendment Effective Date"), by and among the Company, as a borrower, Cadiz Real Estate LLC ("CRE"), as a borrower, WPI-Cadiz Farm, as a lender, the other lenders party thereto, and Wells Fargo Bank, National Association, as agent (the "Agent"), which amended that certain Amended and Restated Credit Agreement (as further amended prior to the Fifth Amendment Effective Date, and as subsequently amended from time to time) attached to that certain Amendment Agreement, dated as of October 30, 2013, by and among the Company, CRE, LC Capital Master Fund, Ltd., the lenders party thereto, and the Agent.

F3 · 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.

SEC source: 0001144204-17-000010 · v456042_4.xml · nonDerivative · entry 2

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,957,660

F1 · 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.

SEC source: 0001144204-17-000010 · v456042_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: 2,937,660

F1 · 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.

SEC source: 0001144204-16-141734 · v455924_4.xml · nonDerivative · entry 3

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,922,660

F1 · 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.

SEC source: 0001144204-16-141734 · v455924_4.xml · nonDerivative · entry 2

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,910,460

F1 · 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.

SEC source: 0001144204-16-141734 · v455924_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: 2,870,460

F1 · 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.

SEC source: 0001144204-16-141265 · v455700_4.xml · nonDerivative · entry 2

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,850,460

F1 · 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.

SEC source: 0001144204-16-141265 · v455700_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: 2,825,039

F1 · 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.

SEC source: 0001144204-16-140661 · v455514_4.xml · nonDerivative · entry 4

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,747,846

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.

SEC source: 0001144204-16-140661 · v455514_4.xml · nonDerivative · entry 3

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,730,646

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.

SEC source: 0001144204-16-140661 · v455514_4.xml · nonDerivative · entry 2

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,674,046

F1 · shares: The shares of common stock and warrants to purchase shares of common stock were issued in connection with that certain Fifth Amendment to the Amended and Restated Credit Agreement, dated as of November 29, 2016 (the "5th Amendment Effective Date"), by and among Cadiz, Inc. and Cadiz Real Estate LLC, as borrowers, WPI-Cadiz Farm CA, LLC, an affiliate of the Reporting Person, as a lender, the other lenders party thereto, and Wells Fargo Bank, National Association, as agent (the "Agent"), which amended that certain Amended and Restated Credit Agreement (as amended through the 5th Amendment Effective Date, the "Credit Agreement") attached to that certain Amendment Agreement, dated as of October 30, 2013, by and among Cadiz, Inc., Cadiz Real Estate LLC, LC Capital Master Fund, Ltd., the lenders party thereto and the Agent.

F1 · price: The shares of common stock and warrants to purchase shares of common stock were issued in connection with that certain Fifth Amendment to the Amended and Restated Credit Agreement, dated as of November 29, 2016 (the "5th Amendment Effective Date"), by and among Cadiz, Inc. and Cadiz Real Estate LLC, as borrowers, WPI-Cadiz Farm CA, LLC, an affiliate of the Reporting Person, as a lender, the other lenders party thereto, and Wells Fargo Bank, National Association, as agent (the "Agent"), which amended that certain Amended and Restated Credit Agreement (as amended through the 5th Amendment Effective Date, the "Credit Agreement") attached to that certain Amendment Agreement, dated as of October 30, 2013, by and among Cadiz, Inc., Cadiz Real Estate LLC, LC Capital Master Fund, Ltd., the lenders party thereto and the Agent.

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.

SEC source: 0001144204-16-140661 · v455514_4.xml · derivative · entry 5

Water Asset Management LLC · CIK 0001423875 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 11,561

Underlying: Common Stock · 11,561 shares

Expires not disclosed

F1 · price: The shares of common stock and warrants to purchase shares of common stock were issued in connection with that certain Fifth Amendment to the Amended and Restated Credit Agreement, dated as of November 29, 2016 (the "5th Amendment Effective Date"), by and among Cadiz, Inc. and Cadiz Real Estate LLC, as borrowers, WPI-Cadiz Farm CA, LLC, an affiliate of the Reporting Person, as a lender, the other lenders party thereto, and Wells Fargo Bank, National Association, as agent (the "Agent"), which amended that certain Amended and Restated Credit Agreement (as amended through the 5th Amendment Effective Date, the "Credit Agreement") attached to that certain Amendment Agreement, dated as of October 30, 2013, by and among Cadiz, Inc., Cadiz Real Estate LLC, LC Capital Master Fund, Ltd., the lenders party thereto and the Agent.

F3 · derivative.exercise_date: Warrant is exercisable commencing on the 180th day following the 5th Amendment Effective Date if any principal or interest amounts are then-outstanding under the Credit Agreement (the "Initial Exercise Date"). Warrant expires on November 29, 2021, subject to extension in certain circumstances in accordance with the terms of the Warrant; provided, however, if no principal and interest are outstanding under the Credit Agreement on the Initial Exercise Date, the Warrant shall expire on the Initial Exercise Date.

F3 · derivative.expiration_date: Warrant is exercisable commencing on the 180th day following the 5th Amendment Effective Date if any principal or interest amounts are then-outstanding under the Credit Agreement (the "Initial Exercise Date"). Warrant expires on November 29, 2021, subject to extension in certain circumstances in accordance with the terms of the Warrant; provided, however, if no principal and interest are outstanding under the Credit Agreement on the Initial Exercise Date, the Warrant shall expire on the Initial Exercise Date.

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.

SEC source: 0001144204-16-140661 · v455514_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: 2,672,551

F1 · shares: The shares of common stock and warrants to purchase shares of common stock were issued in connection with that certain Fifth Amendment to the Amended and Restated Credit Agreement, dated as of November 29, 2016 (the "5th Amendment Effective Date"), by and among Cadiz, Inc. and Cadiz Real Estate LLC, as borrowers, WPI-Cadiz Farm CA, LLC, an affiliate of the Reporting Person, as a lender, the other lenders party thereto, and Wells Fargo Bank, National Association, as agent (the "Agent"), which amended that certain Amended and Restated Credit Agreement (as amended through the 5th Amendment Effective Date, the "Credit Agreement") attached to that certain Amendment Agreement, dated as of October 30, 2013, by and among Cadiz, Inc., Cadiz Real Estate LLC, LC Capital Master Fund, Ltd., the lenders party thereto and the Agent.

F1 · price: The shares of common stock and warrants to purchase shares of common stock were issued in connection with that certain Fifth Amendment to the Amended and Restated Credit Agreement, dated as of November 29, 2016 (the "5th Amendment Effective Date"), by and among Cadiz, Inc. and Cadiz Real Estate LLC, as borrowers, WPI-Cadiz Farm CA, LLC, an affiliate of the Reporting Person, as a lender, the other lenders party thereto, and Wells Fargo Bank, National Association, as agent (the "Agent"), which amended that certain Amended and Restated Credit Agreement (as amended through the 5th Amendment Effective Date, the "Credit Agreement") attached to that certain Amendment Agreement, dated as of October 30, 2013, by and among Cadiz, Inc., Cadiz Real Estate LLC, LC Capital Master Fund, Ltd., the lenders party thereto and the Agent.

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.

SEC source: 0001144204-16-133707 · v452849_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: 2,660,990

F1 · 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.