<SEC-DOCUMENT>0001567619-20-005952.txt : 20200309
<SEC-HEADER>0001567619-20-005952.hdr.sgml : 20200309
<ACCEPTANCE-DATETIME>20200309182821
ACCESSION NUMBER:		0001567619-20-005952
CONFORMED SUBMISSION TYPE:	4
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20200305
FILED AS OF DATE:		20200309
DATE AS OF CHANGE:		20200309

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			LC CAPITAL MASTER FUND LTD
		CENTRAL INDEX KEY:			0001222051

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-12114
		FILM NUMBER:		20699291

	BUSINESS ADDRESS:	
		STREET 1:		C/O LAMPE CONWAY & CO LLC
		STREET 2:		730 FIFTH AVENUE STE 1002
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019-4105
		BUSINESS PHONE:		2125818989

	MAIL ADDRESS:	
		STREET 1:		C/O TRIDENT FUND SERVICES (BVI) LIMITED
		STREET 2:		PO BOX 146, WATERFRONT DR, WICKHAMS CAY
		CITY:			ROAD TOWN, TORTOLA
		STATE:			D8
		ZIP:			00000

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			LAMPE STEVEN
		CENTRAL INDEX KEY:			0001260818

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-12114
		FILM NUMBER:		20699292

	MAIL ADDRESS:	
		STREET 1:		C/O LAMPE, CONWAY & CO. LLC
		STREET 2:		680 FIFTH AVENUE, SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			CONWAY RICHARD F
		CENTRAL INDEX KEY:			0001299904

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-12114
		FILM NUMBER:		20699293

	MAIL ADDRESS:	
		STREET 1:		C/O LAMPE, CONWAY & CO. LLC
		STREET 2:		680 FIFTH AVENUE, SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			LAMPE, CONWAY & CO. LLC
		CENTRAL INDEX KEY:			0001299982

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-12114
		FILM NUMBER:		20699294

	BUSINESS ADDRESS:	
		STREET 1:		680 FIFTH AVENUE, SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019
		BUSINESS PHONE:		2125818989

	MAIL ADDRESS:	
		STREET 1:		680 FIFTH AVENUE, SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			LC CAPITAL PARTNERS LP
		CENTRAL INDEX KEY:			0001175214
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-12114
		FILM NUMBER:		20699295

	BUSINESS ADDRESS:	
		STREET 1:		680 FIFTH AVENUE
		STREET 2:		SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019
		BUSINESS PHONE:		212-581-8989

	MAIL ADDRESS:	
		STREET 1:		680 FIFTH AVENUE
		STREET 2:		SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			LC Capital Advisors LLC
		CENTRAL INDEX KEY:			0001375479
		STATE OF INCORPORATION:			DE

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-12114
		FILM NUMBER:		20699296

	BUSINESS ADDRESS:	
		STREET 1:		C/O LAMPE, CONWAY & CO., LLC
		STREET 2:		680 FIFTH AVENUE, SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019
		BUSINESS PHONE:		(212) 581-8989

	MAIL ADDRESS:	
		STREET 1:		C/O LAMPE, CONWAY & CO., LLC
		STREET 2:		680 FIFTH AVENUE, SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

REPORTING-OWNER:	

	OWNER DATA:	
		COMPANY CONFORMED NAME:			LC Capital Offshore Fund Ltd
		CENTRAL INDEX KEY:			0001293811
		STATE OF INCORPORATION:			E9
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		4
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-12114
		FILM NUMBER:		20699297

	BUSINESS ADDRESS:	
		STREET 1:		C/O LAMPE, CONWAY & CO. LLC
		STREET 2:		680 FIFTH AVENUE, SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019
		BUSINESS PHONE:		212-581-8989

	MAIL ADDRESS:	
		STREET 1:		C/O LAMPE, CONWAY & CO. LLC
		STREET 2:		680 FIFTH AVENUE, SUITE 1202
		CITY:			NEW YORK
		STATE:			NY
		ZIP:			10019

ISSUER:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CADIZ INC
		CENTRAL INDEX KEY:			0000727273
		STANDARD INDUSTRIAL CLASSIFICATION:	WATER SUPPLY [4941]
		IRS NUMBER:				770313235
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	BUSINESS ADDRESS:	
		STREET 1:		550 SOUTH HOPE STREET
		STREET 2:		SUITE 2850
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90071
		BUSINESS PHONE:		213-271-1600

	MAIL ADDRESS:	
		STREET 1:		550 SOUTH HOPE STREET
		STREET 2:		SUITE 2850
		CITY:			LOS ANGELES
		STATE:			CA
		ZIP:			90071

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	CADIZ LAND CO INC
		DATE OF NAME CHANGE:	19920703

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	PACIFIC AGRICULTURAL HOLDINGS INC
		DATE OF NAME CHANGE:	19920602

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	ARIDTECH INC
		DATE OF NAME CHANGE:	19880523
</SEC-HEADER>
<DOCUMENT>
<TYPE>4
<SEQUENCE>1
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    <periodOfReport>2020-03-05</periodOfReport>

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        <issuerCik>0000727273</issuerCik>
        <issuerName>CADIZ INC</issuerName>
        <issuerTradingSymbol>CDZI</issuerTradingSymbol>
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            <rptOwnerName>LC CAPITAL MASTER FUND LTD</rptOwnerName>
        </reportingOwnerId>
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            <rptOwnerStreet2>680 FIFTH AVENUE, 12TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10019-5429</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
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            <officerTitle></officerTitle>
            <otherText>Former 10% Owner</otherText>
        </reportingOwnerRelationship>
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    <reportingOwner>
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            <rptOwnerName>LAMPE STEVEN</rptOwnerName>
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        <reportingOwnerAddress>
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            <rptOwnerStreet2>680 FIFTH AVENUE, 12TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10019-5429</rptOwnerZipCode>
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            <otherText>Former 10% Owner</otherText>
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    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001299904</rptOwnerCik>
            <rptOwnerName>CONWAY RICHARD F</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>LAMPE, CONWAY &amp; CO., LLC</rptOwnerStreet1>
            <rptOwnerStreet2>680 FIFTH AVENUE, 12TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10019-5429</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
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            <otherText>Former 10% Owner</otherText>
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    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001299982</rptOwnerCik>
            <rptOwnerName>LAMPE, CONWAY &amp; CO. LLC</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>LAMPE, CONWAY &amp; CO., LLC</rptOwnerStreet1>
            <rptOwnerStreet2>680 FIFTH AVENUE, 12TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10019-5429</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
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            <isOfficer>0</isOfficer>
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            <otherText>Former 10% Owner</otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001175214</rptOwnerCik>
            <rptOwnerName>LC CAPITAL PARTNERS LP</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>LAMPE, CONWAY &amp; CO., LLC</rptOwnerStreet1>
            <rptOwnerStreet2>680 FIFTH AVENUE, 12TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10019-5429</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>0</isTenPercentOwner>
            <isOther>1</isOther>
            <officerTitle></officerTitle>
            <otherText>Former 10% Owner</otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001375479</rptOwnerCik>
            <rptOwnerName>LC Capital Advisors LLC</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>LAMPE, CONWAY &amp; CO., LLC</rptOwnerStreet1>
            <rptOwnerStreet2>680 FIFTH AVENUE, 12TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10019-5429</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
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            <isOfficer>0</isOfficer>
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            <otherText>Former 10% Owner</otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <reportingOwner>
        <reportingOwnerId>
            <rptOwnerCik>0001293811</rptOwnerCik>
            <rptOwnerName>LC Capital Offshore Fund Ltd</rptOwnerName>
        </reportingOwnerId>
        <reportingOwnerAddress>
            <rptOwnerStreet1>LAMPE, CONWAY &amp; CO., LLC</rptOwnerStreet1>
            <rptOwnerStreet2>680 FIFTH AVENUE, 12TH FLOOR</rptOwnerStreet2>
            <rptOwnerCity>NEW YORK</rptOwnerCity>
            <rptOwnerState>NY</rptOwnerState>
            <rptOwnerZipCode>10019-5429</rptOwnerZipCode>
            <rptOwnerStateDescription></rptOwnerStateDescription>
        </reportingOwnerAddress>
        <reportingOwnerRelationship>
            <isDirector>0</isDirector>
            <isOfficer>0</isOfficer>
            <isTenPercentOwner>0</isTenPercentOwner>
            <isOther>1</isOther>
            <officerTitle></officerTitle>
            <otherText>Former 10% Owner</otherText>
        </reportingOwnerRelationship>
    </reportingOwner>

    <nonDerivativeTable>
        <nonDerivativeTransaction>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <transactionDate>
                <value>2020-03-05</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>C</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F1"/>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>2504434</value>
                    <footnoteId id="F1"/>
                </transactionShares>
                <transactionPricePerShare>
                    <value>6.75</value>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>3263926</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                    <footnoteId id="F4"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeTransaction>
        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>144300</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F4"/>
                    <footnoteId id="F5"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </nonDerivativeHolding>
        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>1208</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                    <footnoteId id="F4"/>
                    <footnoteId id="F6"/>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>By retirement account</value>
                </natureOfOwnership>
            </ownershipNature>
        </nonDerivativeHolding>
        <nonDerivativeHolding>
            <securityTitle>
                <value>Common Stock</value>
            </securityTitle>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>584</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>I</value>
                    <footnoteId id="F4"/>
                    <footnoteId id="F7"/>
                </directOrIndirectOwnership>
                <natureOfOwnership>
                    <value>By spouse's retirement account</value>
                </natureOfOwnership>
            </ownershipNature>
        </nonDerivativeHolding>
    </nonDerivativeTable>

    <derivativeTable>
        <derivativeTransaction>
            <securityTitle>
                <value>7% Convertible Senior Notes due 2020</value>
                <footnoteId id="F8"/>
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            <conversionOrExercisePrice>
                <value>6.75</value>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2020-03-05</value>
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            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>J</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
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            <transactionAmounts>
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                    <footnoteId id="F9"/>
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                <transactionPricePerShare>
                    <footnoteId id="F9"/>
                    <footnoteId id="F10"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F10"/>
            </exerciseDate>
            <expirationDate>
                <value>2020-03-05</value>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>2498709.68</value>
                    <footnoteId id="F11"/>
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            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>43346290.3</value>
                </sharesOwnedFollowingTransaction>
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            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F2"/>
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        </derivativeTransaction>
        <derivativeTransaction>
            <securityTitle>
                <value>7% Convertible Senior Notes due 2020</value>
                <footnoteId id="F8"/>
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            <conversionOrExercisePrice>
                <value>6.75</value>
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            <transactionDate>
                <value>2020-03-05</value>
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            <deemedExecutionDate></deemedExecutionDate>
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                <transactionFormType>4</transactionFormType>
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                <transactionShares>
                    <value>16904930.13</value>
                    <footnoteId id="F12"/>
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                <transactionPricePerShare>
                    <footnoteId id="F10"/>
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                    <value>D</value>
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                <footnoteId id="F10"/>
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                <value>2020-03-05</value>
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                <underlyingSecurityTitle>
                    <value>Common Stock</value>
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                <underlyingSecurityShares>
                    <value>2504434.09</value>
                    <footnoteId id="F11"/>
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                <sharesOwnedFollowingTransaction>
                    <value>26441360.2</value>
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                <directOrIndirectOwnership>
                    <value>D</value>
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        </derivativeTransaction>
        <derivativeTransaction>
            <securityTitle>
                <value>7% Convertible Senior Notes due 2020</value>
                <footnoteId id="F8"/>
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            <conversionOrExercisePrice>
                <value>6.75</value>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2020-03-05</value>
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            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>S</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F13"/>
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            <transactionAmounts>
                <transactionShares>
                    <value>26441360.21</value>
                    <footnoteId id="F13"/>
                </transactionShares>
                <transactionPricePerShare>
                    <footnoteId id="F10"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>D</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F10"/>
            </exerciseDate>
            <expirationDate>
                <value>2020-03-05</value>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>3917238.55</value>
                    <footnoteId id="F11"/>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>0</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                    <footnoteId id="F4"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </derivativeTransaction>
        <derivativeTransaction>
            <securityTitle>
                <value>Series 1 Preferred Stock</value>
                <footnoteId id="F14"/>
            </securityTitle>
            <conversionOrExercisePrice>
                <value>6.75</value>
            </conversionOrExercisePrice>
            <transactionDate>
                <value>2020-03-05</value>
            </transactionDate>
            <deemedExecutionDate></deemedExecutionDate>
            <transactionCoding>
                <transactionFormType>4</transactionFormType>
                <transactionCode>P</transactionCode>
                <equitySwapInvolved>0</equitySwapInvolved>
                <footnoteId id="F15"/>
            </transactionCoding>
            <transactionAmounts>
                <transactionShares>
                    <value>9671</value>
                    <footnoteId id="F15"/>
                </transactionShares>
                <transactionPricePerShare>
                    <footnoteId id="F16"/>
                </transactionPricePerShare>
                <transactionAcquiredDisposedCode>
                    <value>A</value>
                </transactionAcquiredDisposedCode>
            </transactionAmounts>
            <exerciseDate>
                <footnoteId id="F16"/>
            </exerciseDate>
            <expirationDate>
                <footnoteId id="F17"/>
            </expirationDate>
            <underlyingSecurity>
                <underlyingSecurityTitle>
                    <value>Common Stock</value>
                </underlyingSecurityTitle>
                <underlyingSecurityShares>
                    <value>3917239</value>
                    <footnoteId id="F16"/>
                </underlyingSecurityShares>
            </underlyingSecurity>
            <postTransactionAmounts>
                <sharesOwnedFollowingTransaction>
                    <value>9671</value>
                </sharesOwnedFollowingTransaction>
            </postTransactionAmounts>
            <ownershipNature>
                <directOrIndirectOwnership>
                    <value>D</value>
                    <footnoteId id="F2"/>
                    <footnoteId id="F3"/>
                    <footnoteId id="F4"/>
                </directOrIndirectOwnership>
            </ownershipNature>
        </derivativeTransaction>
    </derivativeTable>

    <footnotes>
        <footnote id="F1">Acquisition from the Issuer of Common Stock in exchange for $16,904,929.50 principal amount of 2020 Notes (as defined below).</footnote>
        <footnote id="F2">These securities (the &quot;Securities&quot;) are owned by LC Capital Master Fund, Ltd (&quot;Master Fund&quot;).</footnote>
        <footnote id="F3">The Securities may also be deemed to be beneficially owned by LC Capital Partners, L.P. (&quot;Partners&quot;), LC Capital Advisors, LLC (&quot;Advisors&quot;), Lampe, Conway &amp; Co., LLC (&quot;LC&amp;C&quot;), LC Capital Offshore Fund, Ltd. (&quot;Offshore&quot;), Steven G. Lampe and Richard F. Conway by virtue of the following: (i) Partners and Offshore beneficially own 100% of the outstanding shares of Master Fund, (ii) Advisors is the sole general partner of Partners, (iii) LC&amp;C is investment manager to Partners, Offshore and Master Fund pursuant to certain investment management agreements and shares voting and dispositive power over the Securities, and (iv) Messrs. Lampe and Conway are the sole managing members of each of Advisors and LC&amp;C.</footnote>
        <footnote id="F4">Each Reporting Person disclaims beneficial ownership of the Securities reported on this Form 4 except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admission that any such Reporting Person is the beneficial owner of the Securities for purposes of Section 16 for any other purpose.</footnote>
        <footnote id="F5">These securities are directly owned by Steven G. Lampe. The other Reporting Persons included in this Form 4 do not have beneficial ownership of such shares.</footnote>
        <footnote id="F6">These securities are indirectly owned by Steven G. Lampe through a retirement account. The other Reporting Persons included in this Form 4 do not have beneficial ownership of such shares.</footnote>
        <footnote id="F7">These securities are indirectly owned by Steven G. Lampe through his spouse's retirement account. The other Reporting Persons included in this Form 4 do not have beneficial ownership of such shares.</footnote>
        <footnote id="F8">7.00% Convertible Notes Due 2020 (the &quot;2020 Notes&quot;), issued pursuant to the terms of a Note Exchange Agreement, dated 11/23/2015 (the &quot;Second Exchange Agreement&quot;), and an Indenture, dated 12/10/2015 (the &quot;2020 Notes Indenture&quot;), between the Issuer and U.S. Bank National Association, as trustee.</footnote>
        <footnote id="F9">Represents accreted principal as provided for by the terms of the 2020 Notes, which payment is exempt from Section 16 of the Securities Exchange Act of 1934 under SEC Rule 16a-9 and/or Rule 16b-b(6).</footnote>
        <footnote id="F10">Subject to adjustment and certain limitations on issuance contained in the 2020 Notes Indenture, the Reporting Person has the right to convert all or any portion of the accreted principal amount of the 2020 Notes at any time at the conversion rate equivalent to 148.148 shares of Issuer's common stock per $1,000 of then accreted principal amount (&quot;2020 Notes Accreted Principal Amount&quot;) of the 2020 Notes on the conversion date. The terms of the 2020 Notes Indenture and the 2020 Notes provide that the 2020 Notes are convertible into shares of Issuer's Common Stock at the conversion price indicated in column 2 of Table II.</footnote>
        <footnote id="F11">The principal amount of the 2020 Notes accretes at a rate equal to 7.00% per annum (compounded quarterly) through March 5, 2020; provided that the amounts of principal accretion with respect to the 2020 Notes shall be determined as if the 2020 Notes had been issued and accretion had commenced on March 5, 2013. The calculations in columns 7 are based on the conversion rate of the 2020 Notes multiplied by the 2020 Notes Accreted Principal Amount.</footnote>
        <footnote id="F12">Disposition to the Issuer of $16,904,930.13 principal amount of 2020 Notes in exchange for Common Stock and $0.63 in lieu of fractional shares.</footnote>
        <footnote id="F13">Disposition to the Issuer of $26,441,360.21  principal amount of 2020 Notes in exchange for Series 1 Preferred Stock.</footnote>
        <footnote id="F14">Series 1 Preferred Stock, par value $0.01 per share, issued pursuant to the terms of the Conversion and Exchange Agreement, dated 03/05/2020, between the Issuer and Master Fund. The Series 1 Preferred Stock is convertible only so long as the beneficial ownership of the Reporting Persons would not exceed 9.9% of the Common Stock outstanding immediately after giving effect to the conversion. The Series 1 Preferred Stock only has voting power to the extent that the Reporting Persons' voting power does not exceed 9.9% of the Common Stock outstanding at the time of the vote.</footnote>
        <footnote id="F15">Acquisition from the Issuer of Series 1 Preferred Stock in exchange for  $26,441,360.21 principal amount of 2020 Notes.</footnote>
        <footnote id="F16">Each outstanding share of Series 1 Preferred Stock is convertible from and after March 5, 2020 and prior to the Mandatory Conversion Date (as defined below), at the option of the holder thereof, into that number of shares of Common Stock (subject to the limitations set forth in footnote 11 above) as is determined by multiplying one (1) by the conversion rate then in effect. On March 5, 2020, the conversion rate was 405.05.</footnote>
        <footnote id="F17">On March 5, 2025 (the &quot;Mandatory Conversion Date&quot;), each outstanding share of Series 1 Preferred Stock will automatically convert (subject to the limitations set forth in footnote 11 above) into that number of shares of Common Stock as is determined by multiplying one (1) by the conversion rate in effect on the Mandatory Conversion Date (the &quot;Mandatory Conversion&quot;). Any shares of Series 1 Preferred Stock remaining after the Mandatory Conversion Date shall automatically be converted into a non-voting preferred security that shall continue to be convertible at the option of the holder (subject to the limitations set forth in footnote 11 above).</footnote>
    </footnotes>

    <ownerSignature>
        <signatureName>/s/ Richard F. Conway, Director, for LC Capital Master Fund, Ltd.</signatureName>
        <signatureDate>2020-03-09</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Richard F. Conway, Partner, for LC Capital Partners, L.P.</signatureName>
        <signatureDate>2020-03-09</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Richard F. Conway, Managing Member, for LC Capital Advisors, LLC</signatureName>
        <signatureDate>2020-03-09</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Richard F. Conway, Managing Member, for Lampe, Conway &amp; Co., LLC</signatureName>
        <signatureDate>2020-03-09</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Richard F. Conway, Director, for LC Capital Offshore Fund, Ltd.</signatureName>
        <signatureDate>2020-03-09</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Richard F. Conway</signatureName>
        <signatureDate>2020-03-09</signatureDate>
    </ownerSignature>

    <ownerSignature>
        <signatureName>/s/ Steven G. Lampe</signatureName>
        <signatureDate>2020-03-09</signatureDate>
    </ownerSignature>
</ownershipDocument>
</XML>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
