Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CADIZ INCCDZI · Entity 5819 | Director | June 30, 2026 | July 02, 2026 |
| Upland Software, Inc.UPLD · Entity 7891 | Director | October 27, 2025 | October 29, 2025 |
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 June 30, 2026 · Filed July 02, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 81,592 |
Reported balance
After 2026-06-30 transaction · row 1
1 source rowRow 1 · 2026-06-30 · Grant · Acquired 6,103 · Balance 81,592 F1: 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, 2026, which shares will vest on January 31, 2027. |
Filing footnotes · ownership attribution and instrument terms
F1: 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, 2026, which shares will vest on January 31, 2027.
Upland Software, Inc.
Report date October 27, 2025 · Filed October 29, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 124,232 |
Reported balance
After 2025-10-27 transaction · row 1
1 source rowRow 1 · 2025-10-27 · Grant · Acquired 25,000 · Balance 124,232 F1: Represents restricted stock units vesting as follows: one-half (1/2) shall vest on 12/16/25 and the remaining shall in two equal quarterly installments on each of 3/16/26 and 6/16/26. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents restricted stock units vesting as follows: one-half (1/2) shall vest on 12/16/25 and the remaining shall in two equal quarterly installments on each of 3/16/26 and 6/16/26.
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 |
|---|---|---|---|---|---|---|
| June 30, 2026 Filed Jul 2, 2026 22:09 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 6,103 | $4.10 | $25,022.30 |
DisclosureSEC source: 0001131058-26-000001 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 81,592 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, 2026, which shares will vest on January 31, 2027. Read SEC document |
| October 27, 2025 Filed Oct 29, 2025 20:38 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001131058-25-000005 · wk-form4_1761770305.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 124,232 F1 · shares: Represents restricted stock units vesting as follows: one-half (1/2) shall vest on 12/16/25 and the remaining shall in two equal quarterly installments on each of 3/16/26 and 6/16/26. Read SEC document |
| June 30, 2025 Filed Jun 30, 2025 23:21 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 8,212 | $3.04 | $24,999.79 |
DisclosureSEC source: 0000923876-25-000006 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,489 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, 2025, which shares will vest on January 31, 2026. Read SEC document |
| November 04, 2024 Filed Nov 4, 2024 22:11 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantCommon Stock | 25,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001505155-24-000088 · wk-form4_1730758259.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 99,232 F1 · shares: Represents restricted stock units vesting as follows: one-half (1/2) shall vest on 12/16/24 and the remaining shall vest in two equal quarterly installments on each of 3/16/25 and 6/16/25. Read SEC document |
| July 01, 2024 Filed Jul 3, 2024 17:09 UTC | CADIZ INC cdzi · Entity 5819 | GrantCommon Stock | 8,174 | $3.06 | $24,999.36 |
DisclosureSEC source: 0001783184-24-000006 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,277 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, 2024, which shares will vest on January 31, 2025. Read SEC document |
| November 21, 2023 Filed Nov 22, 2023 20:27 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 20,448 | $4.43 | $90,625.54 |
DisclosureSEC source: 0001131058-23-000003 · wk-form4_1700684833.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 74,232 F1 · price: This transaction was executed in multiple trades at prices ranging from $4.315 to $4.68; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, Upland Software, or a security holder of Upland Software. Read SEC document |
| July 31, 2023 Filed Aug 2, 2023 20:28 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantCommon Stock | 62,816 | $0.00 | $0.00 |
DisclosureSEC source: 0001131058-23-000001 · wk-form4_1691008114.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 94,680 F1 · shares: Represents restricted stock units vesting in 4 equal installments on each of 9/16/2023, 12/16/2023, 3/16/2024 and 6/16/2024. Read SEC document |
| July 03, 2023 Filed Jul 7, 2023 00:21 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 5,666 | $4.41 | $25,000.66 |
DisclosureSEC source: 0000727273-23-000008 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,103 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, 2023, which shares will vest on January 31, 2024. Read SEC document |
| December 16, 2022 Filed Dec 16, 2022 20:50 UTC | CADIZ INC CDZI · Entity 5819 | PurchaseCommon Stock | 2,000 | $2.57 | $5,140.00 |
DisclosureSEC source: 0001131058-22-000012 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,437 F1 · balance_after: Includes 11,339 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, 2022, which shares will vest on January 31, 2023. Read SEC document |
| October 13, 2022 Filed Oct 14, 2022 20:08 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 3,500 | $7.06 | $24,710.00 |
DisclosureSEC source: 0001131058-22-000011 · wf-form4_166577810370860.xml · nonDerivative · entry 2 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,864 F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.95 to $7.17, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder of Upland Software, Inc., 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 in this footnote to this Form 4. Read SEC document |
| October 12, 2022 Filed Oct 14, 2022 20:08 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 3,500 | $7.37 | $25,795.00 |
DisclosureSEC source: 0001131058-22-000011 · wf-form4_166577810370860.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,364 F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.29 to $7.49, inclusive. The reporting person undertakes to provide to Upland Software, Inc., any security holder of Upland Software, Inc., 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 in this footnote to this Form 4. Read SEC document |
| August 01, 2022 Filed Aug 2, 2022 21:15 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantCommon Stock | 17,830 | $0.00 | $0.00 |
DisclosureSEC source: 0001131058-22-000009 · wf-form4_165947486282153.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,864 F1 · shares: Represents restricted stock units vesting in 4 equal installments on each of 9/16/2022, 12/16/2022, 3/16/2023 and 6/16/2023. Read SEC document |
| July 12, 2022 Filed Jul 14, 2022 15:26 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 11,339 | $2.21 | $25,002.50 |
DisclosureSEC source: 0001131058-22-000003 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,437 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, 2022, which shares will vest on January 31, 2023. Read SEC document |
| April 04, 2022 Filed Apr 5, 2022 21:12 UTC | CADIZ INC CDZI · Entity 5819 | PurchaseCommon Stock | 9,600 | $2.23 | $21,408.00 |
DisclosureSEC source: 0001131058-22-000001 · primary_doc.xml · nonDerivative · entry 2 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,098 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 21:12 UTC | CADIZ INC CDZI · Entity 5819 | PurchaseCommon Stock | 600 | $2.13 | $1,278.00 |
DisclosureSEC source: 0001131058-22-000001 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,698 Read SEC document |
| August 02, 2021 Filed Aug 4, 2021 20:34 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantCommon Stock | 6,051 | $0.00 | $0.00 |
DisclosureSEC source: 0001131058-21-000003 · wf-form4_162810924738380.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,034 F1 · shares: Represents restricted stock units vesting in 4 equal installments on each of 9/16/2021, 12/16/2021, 3/16/2022 and 6/16/2022. Read SEC document |
| June 30, 2021 Filed Jul 1, 2021 19:55 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 1,899 | $13.16 | $24,995.21 |
DisclosureSEC 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. Read SEC document |
| November 13, 2020 Filed Nov 13, 2020 21:08 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 1,235 | $42.21 | $52,129.35 |
DisclosureSEC source: 0001131058-20-000004 · wf-form4_160530170417020.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,983 F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan. Read SEC document |
| August 03, 2020 Filed Aug 5, 2020 20:06 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantCommon Stock | 4,567 | $0.00 | $0.00 |
DisclosureSEC source: 0001131058-20-000002 · wf-form4_159665799131833.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,218 F1 · shares: Represents restricted stock units vesting in four quarterly installments beginning on the three-month anniversary of the Vesting Commencement date, provided the participant continues to serves as a director through such dates. Read SEC document |
| June 30, 2020 Filed Jul 2, 2020 23:11 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 2,337 | $10.70 | $25,003.56 |
DisclosureSEC 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. Read SEC document |
| November 01, 2019 Filed Nov 4, 2019 21:06 UTC | Upland Software, Inc. UPLD · Entity 7891 | SaleCommon Stock | 1,450 | $34.42 | $49,914.80 |
DisclosureSEC source: 0001131058-19-000004 · wf-form4_157290159485083.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,651 F1 · kind: Shares were sold pursuant to shareholder's 10b5-1 trading plan. Read SEC document |
| August 05, 2019 Filed Aug 7, 2019 20:20 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantCommon Stock | 1,188 | $0.00 | $0.00 |
DisclosureSEC source: 0001131058-19-000002 · wf-form4_156520920893577.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,101 F1 · shares: Represents restricted stock units vesting as follows: 297 shares on each of 9/16/19, 12/16/2019, 3/16/20 and 6/16/20. Read SEC document |
| June 30, 2019 Filed Jul 2, 2019 00:18 UTC | CADIZ INC CDZI · Entity 5819 | GrantCommon Stock | 1,914 | $10.45 | $19,996.52 |
DisclosureSEC source: 0001205303-19-000004 · primary_doc.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,862 F1 · balance_after: Includes 1,914 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, 2019, which shares will vest on January 31, 2020. Read SEC document |
| August 06, 2018 Filed Aug 8, 2018 20:36 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantCommon Stock | 1,497 | $0.00 | $0.00 |
DisclosureSEC source: 0001131058-18-000002 · wf-form4_153376059803406.xml · nonDerivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,913 F1 · shares: Represents restricted stock vesting as to 25% of shares on each of 9/16/2018, 12/16/2018, 3/16/2019 and 6/16/2019 subject to continued service as a member of the Board. Read SEC document |
| June 30, 2018 Filed Jul 2, 2018 18:13 UTC | CADIZ INC CDZI · Entity 5819 | 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 |
| August 08, 2017 Filed Oct 5, 2017 20:06 UTC | Upland Software, Inc. UPLD · Entity 7891 | GrantStock Option (right to buy) · Derivative | 6,525 | $0.00 Strike: $23.60 | $0.00 |
DisclosureSEC source: 0001131058-17-000002 · wf-form4_150723398296848.xml · derivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,941 Underlying: Common Stock · 6,525 shares Expires 2027-08-08 F1 · derivative.exercise_date: The option vests and becomes exercisable in twelve equal monthly installments commencing on June 16, 2017. Read SEC document |
| June 30, 2017 Filed Jul 3, 2017 17:44 UTC | CADIZ INC CDZI · Entity 5819 | 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 |
| August 08, 2016 Filed Aug 30, 2018 22:11 UTC Amendment | Upland Software, Inc. UPLD · Entity 7891 | GrantStock Option (right to buy) · Derivative | 15,487 | $0.00 Strike: $7.74 | $0.00 |
DisclosureSEC source: 0001131058-18-000004 · wf-form4a_153566707664302.xml · derivative · entry 1 COURTER STEPHEN E · CIK 0001131058 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,487 Underlying: Common Stock · 15,487 shares Expires 2026-08-08 F1 · security: Form was amended to correct the Title of Derivative Security. F2 · derivative.exercise_date: The option vests and becomes exercisable in twelve equal monthly installments commencing on June 17, 2016. 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.