Small Company Offering and Sale of Securities Without Registration (d)
19 March 2020 - 7:53AM
Edgar (US Regulatory)
o
NoneEntity Type | 0000727273 | CADIZ LAND CO INC PACIFIC AGRICULTURAL HOLDINGS INC ARIDTECH INC |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other |
| Name of Issuer |
CADIZ INC |
| Jurisdiction of Incorporation/Organization |
| DELAWARE |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| CADIZ INC | |
| Street Address 1 | Street Address 2 |
| 550 SOUTH HOPE STREET | SUITE 2850 |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| LOS ANGELES | CALIFORNIA | 90071 | 213-271-1600 |
| Last Name | First Name | Middle Name |
| Slater | Scott | |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | President and Chief Executive Officer |
| Last Name | First Name | Middle Name |
| Brackpool | Keith | |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chairman of the Board of Directors |
| Last Name | First Name | Middle Name |
| Courter | Stephen | E |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Echaveste | Maria | |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Grant | Geoffrey | |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Hickox | Winston | H |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Hutchison | Murray | H |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Nevins | Richard | |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Webb de Macias | Carolyn | |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Shaheen | Timothy | J |
| Street Address 1 | Street Address 2 |
| 550 S. Hope St | Suite 2850 |
| City | State/Province/Country | ZIP/Postal Code |
| Los Angeles | CALIFORNIA | 90071 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | Chief Financial Officer and Secretary |
|
o
| Agriculture | | Health Care |
o
| Retailing |
| | Banking & Financial Services | |
o
| Biotechnology |
o
| Restaurants |
| |
o
| Commercial Banking | |
o
| Health Insurance | | Technology |
| |
o
| Insurance | |
o
| Hospitals & Physicians | |
o
| Computers |
| |
o
| Investing | |
o
| Pharmaceuticals | |
o
| Telecommunications |
| |
o
| Investment Banking | |
o
| Other Health Care | |
o
| Other Technology |
| |
o
| Pooled Investment Fund
| | | | | Travel |
| |
o
| Other Banking & Financial Services |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
x
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
o
| No Revenues |
o
| No Aggregate Net Asset Value |
|
x
| $1 - $1,000,000 |
o
| $1 - $5,000,000 |
|
o
| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
o
| Over $100,000,000 |
o
| Over $100,000,000 |
|
o
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
o
| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
x
| New Notice | Date of First Sale | 2020-03-05 |
o
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
o
| Yes |
x
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
x
| Equity |
|
o
| Tenant-in-Common Securities |
o
| Debt |
|
o
| Mineral Property Securities |
o
| Option, Warrant or Other Right to Acquire Another Security |
|
o
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
o
| Other (describe) |
| | |
| 10. Business Combination Transaction |
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
o
| Yes |
x
| No |
| |
| Clarification of Response (if Necessary) | |
| |
| Minimum investment accepted from any outside investor | $ 899514 USD |
| Recipient | Recipient CRD Number |
o
| None |
| | |
| (Associated) Broker or Dealer |
o
| None | (Associated) Broker or Dealer CRD Number |
o
| None |
| | |
| Street Address 1 | Street Address 2 |
| | |
| City | State/Province/Country | ZIP/Postal Code |
| | | |
| State(s) of Solicitation |
o
| All States |
| |
| |
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 27340875 USD |
o
Indefinite |
| Total Amount Sold | $ 27340875 USD | |
| Total Remaining to be Sold | $ 0 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| |
|
o
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
| |
| | Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 2 |
| 15. Sales Commissions & Finders’ Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
| Sales Commissions | $ 0 USD |
o
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
| | $ 0 USD |
o
Cadiz (NASDAQ:CDZI) Historical Stock Chart From Apr 2024 to May 2024
Cadiz (NASDAQ:CDZI) Historical Stock Chart From May 2023 to May 2024
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
|