<SEC-DOCUMENT>0001213900-20-005682-index.html : 20200309 <SEC-HEADER>0001213900-20-005682.hdr.sgml : 20200309 <ACCEPTANCE-DATETIME>20200309090129 ACCESSION NUMBER: 0001213900-20-005682 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 12 CONFORMED PERIOD OF REPORT: 20200305 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Unregistered Sales of Equity Securities ITEM INFORMATION: Material Modifications to Rights of Security Holders ITEM INFORMATION: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20200309 DATE AS OF CHANGE: 20200309 FILER: 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 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-12114 FILM NUMBER: 20696677 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>8-K <SEQUENCE>1 <FILENAME>ea119370-8k_cadizinc.htm <DESCRIPTION>CURRENT REPORT <TEXT> Document 1 - file: ea119370-8k_cadizinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.1 <SEQUENCE>2 <FILENAME>ea119370ex3-1_cadizinc.htm <DESCRIPTION>CERTIFICATE OF DESIGNATION OF SERIES 1 PREFERRED STOCK OF CADIZ INC. <TEXT> Document 2 - file: ea119370ex3-1_cadizinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.1 <SEQUENCE>3 <FILENAME>ea119370ex10-1_cadizinc.htm <DESCRIPTION>CONVERSION AND EXCHANGE AGREEMENT, DATED MARCH 5, 2020, BY AND BETWEEN CADIZ INC. AND LC CAPITAL MASTER FUND, LTD <TEXT> Document 3 - file: ea119370ex10-1_cadizinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.2 <SEQUENCE>4 <FILENAME>ea119370ex10-2_cadizinc.htm <DESCRIPTION>CONVERSION AND EXCHANGE AGREEMENT, DATED MARCH 5, 2020, BY AND BETWEEN CADIZ INC. AND ELKHORN PARTNERS LIMITED PARTNERSHIP <TEXT> Document 4 - file: ea119370ex10-2_cadizinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.3 <SEQUENCE>5 <FILENAME>ea119370ex10-3_cadizinc.htm <DESCRIPTION>REGISTRATION RIGHTS AGREEMENT, DATED MARCH 5, 2020, BY AND AMONG CADIZ INC. AND THE OTHER PARTIES THERETO <TEXT> Document 5 - file: ea119370ex10-3_cadizinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.4 <SEQUENCE>6 <FILENAME>ea119370ex10-4_cadizinc.htm <DESCRIPTION>WAIVER AND AMENDMENT NO. 1 TO CREDIT AGREEMENT, DATED AS OF MARCH 5, 2020, BY AND AMONG CADIZ INC., CADIZ REAL ESTATE LLC, THE REQUIRED LENDERS AND WELLS FARGO BANK, NATIONAL ASSOCIATION, AS ADMINISTRATIVE AGENT <TEXT> Document 6 - file: ea119370ex10-4_cadizinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.5 <SEQUENCE>7 <FILENAME>ea119370ex10-5_cadizinc.htm <DESCRIPTION>AMENDMENT NO. 1 TO WARRANT, DATED AS OF MARCH 5, 2020, BY AND BETWEEN CADIZ INC. AND OTHER PARTY THERETO <TEXT> Document 7 - file: ea119370ex10-5_cadizinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>8 <FILENAME>ea119370ex99-1_cadizinc.htm <DESCRIPTION>PRESS RELEASE DATED MARCH 9, 2020 <TEXT> Document 8 - file: ea119370ex99-1_cadizinc.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>9 <FILENAME>ex10-1_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 9 - file: ex10-1_001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>10 <FILENAME>ex10-2_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 10 - file: ex10-2_001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>11 <FILENAME>ex10-4_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 11 - file: ex10-4_001.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>12 <FILENAME>ex99-1_001.jpg <DESCRIPTION>GRAPHIC <TEXT> Document 12 - file: ex99-1_001.jpg
</DOCUMENT> </SEC-DOCUMENT>