Welcome to our dedicated page for Cadiz SEC filings (Ticker: CDZI), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Cadiz Inc. filings document the regulatory record for a California water solutions company developing the Mojave Groundwater Bank, related conveyance infrastructure and groundwater filtration operations. Current reports on Form 8-K cover material agreements, water-project collaboration arrangements, board appointments and other events tied to the company’s water supply and storage strategy.
Proxy materials disclose board governance, director elections, executive compensation and equity-award information. The filing record also identifies Cadiz’s capital structure, including common stock and depositary shares representing fractional interests in its 8.875% Series A Cumulative Perpetual Preferred Stock, and includes disclosure categories for shareholder voting matters, governance and capital-structure changes.
Lloyd Barbara A reported acquisition or exercise transactions in this Form 4 filing.
Cadiz Inc director Barbara A. Lloyd reported two stock-based compensation awards of common stock. One award covered 1,116 shares at $4.20 per share, and another covered 6,103 shares at $4.10 per share, both classified as grants or awards rather than open-market purchases.
The footnotes state these shares were allocated under Cadiz’s 2019 Equity Incentive Plan for services as a director, including shares vesting on January 31, 2027 and shares issued in lieu of cash compensation for a three-month service period beginning July 1, 2026. After these grants, Lloyd directly holds 29,491 common shares.
O'Hara David Mark reported acquisition or exercise transactions in this Form 4 filing.
Cadiz Inc director David Mark O'Hara received two stock grants as part of his board compensation. He was awarded 4,464 shares of common stock at $4.20 per share for services over a five-month period ended June 30, 2026, vesting on January 31, 2027. He also received 3,052 shares at $4.10 per share, issued under the company’s 2019 Equity Incentive Plan in lieu of cash compensation for a three-month period beginning July 1, 2026. Following these awards, he directly holds 125,357 Cadiz Inc common shares.
Dreyfus Maria S. reported acquisition or exercise transactions in this Form 4 filing.
Cadiz Inc. director Maria S. Dreyfus reported stock-based compensation awards, not open-market purchases. She received 4,464 shares of common stock at $4.20 per share for board service over the 12-month period ended June 30, 2026; these shares vest on January 31, 2027. She also received 6,103 shares at $4.10 per share issued under the company’s 2019 Equity Incentive Plan in lieu of cash compensation for director services during the three-month period beginning July 1, 2026. Following these awards, she directly holds 196,570 common shares.
Polanco Richard Garcia reported acquisition or exercise transactions in this Form 4 filing.
CADIZ INC director Richard Garcia Polanco received a grant of 6,103 shares of Common Stock valued at $4.10 per share. The award was allocated under the 2019 Equity Incentive Plan as compensation for services as a director for the 12-month period ended June 30, 2026. These shares will vest on January 31, 2027, bringing his direct holdings to 28,155 shares.
Lombard Kenneth T reported acquisition or exercise transactions in this Form 4 filing.
CADIZ INC director Kenneth T. Lombard received a stock award of 6,103 shares of Common Stock, valued at $4.10 per share. This grant compensates him for services as a director for the 12‑month period ended June 30, 2026, under the 2019 Equity Incentive Plan.
The shares will vest on January 31, 2027, meaning he must remain eligible through that date to fully earn them. After this award, Lombard directly holds a total of 30,990 shares of CADIZ INC common stock.
Echaveste Maria reported acquisition or exercise transactions in this Form 4 filing.
Cadiz Inc director Maria Echaveste received a stock grant as part of her board compensation. She was awarded 6,103 shares of common stock at a reference price of $4.10 per share, increasing her direct holdings to 45,730 shares.
The shares were allocated under the company’s 2019 Equity Incentive Plan for services rendered as a director for the 12-month period ended June 30, 2026. These shares are scheduled to vest on January 31, 2027, meaning they become fully earned and no longer subject to forfeiture on that date.
COURTER STEPHEN E reported acquisition or exercise transactions in this Form 4 filing.
CADIZ INC director Stephen E. Courter reported an equity award of company stock. He received 6,103 shares of Common Stock valued at $4.10 per share as a grant for board service, rather than an open-market purchase.
The award was allocated under the company’s 2019 Equity Incentive Plan for services rendered as a director for the 12‑month period ended June 30, 2026, and these shares will vest on January 31, 2027. After this grant, Courter directly holds 81,592 shares of CADIZ INC common stock.
Hickox Winston H reported acquisition or exercise transactions in this Form 4 filing.
CADIZ INC director Winston H. Hickox received an equity grant of 6,103 shares of Common Stock at $4.10 per share. The shares were allocated under the 2019 Equity Incentive Plan for his board service for the 12 months ended June 30, 2026 and will vest on January 31, 2027. After this grant, he directly holds 199,174 shares, while his spouse holds 70,759 shares indirectly.
Cadiz Inc. amended its certificate of incorporation to increase its authorized common stock from 100,000,000 to 125,000,000, following stockholder approval at the 2026 annual meeting held on June 18, 2026.
At the meeting, 60,318,605 shares were present or represented by proxy and entitled to vote. Each listed director nominee received more than 52 million votes in favor, with 7,688,475 broker non-votes. Additional proposals on the ballot also received tens of millions of votes for, with comparatively small against and abstain totals, indicating broad stockholder support for the company’s agenda.
Cadiz Inc. Chief Operating Officer Cathryn Rivera reported an open-market sale of 2,500 shares of common stock at $4.33 per share. After this transaction, she directly holds 145,000 shares of Cadiz common stock.
She also holds restricted stock units tied to Cadiz common stock, including 57,350 RSUs that vest in quarterly installments from June 30, 2026 through June 30, 2027, subject to continued employment. Additional RSUs will vest only when specified project finance, water sales, regulatory and environmental milestones are achieved.