1. Name and Address of Reporting Person * |
Â
Redfern Dominic |
|
2. Date of Event Requiring Statement (Month/Day/Year) 11/30/2011 |
3. Issuer Name and Ticker or Trading Symbol CADIZ INC [CDZI]
|
C/O ALTIMA PARTNERS LLP, 23 SAVILE ROW, 6TH FLOOR |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director |
__X__ 10% Owner |
_____ Officer (give title below) |
_____ Other (specify below) |
|
|
5. If Amendment, Date Original Filed(Month/Day/Year)
|
LONDON, UNITED KINGDOM, X0 W1S 2ET |
6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
|
Table I - Non-Derivative Securities Beneficially Owned |
|
1.Title of Security (Instr. 4) |
2. Amount of Securities Beneficially Owned (Instr. 4) |
3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) |
4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, par value $0.01 per share
|
746,651
|
I
(1)
|
By Altima Global Special Opportunities Fund
|
Common Stock, par value $0.01 per share
|
500,000
|
I
(1)
|
By Altima Global Special Situations Master Fund
|
Common Stock, par value $0.01 per share
|
201,467
|
I
(1)
|
By Altima Services UK Limited
|
|
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Warrant to acquire Common Stock
|
01/19/2010 |
10/30/2012 |
Common Stock
|
48,000
|
$
15
|
I
(1)
|
By Altima Global Special Opportunities Fund
|
Warrant to acquire Common Stock
|
02/28/2012 |
11/30/2014 |
Common Stock
|
166,667
|
$
13
|
I
(1)
|
By Altima Global Special Situations Master Fund
|
Warrant to acquire Common Stock
|
02/28/2012 |
11/30/2014 |
Common Stock
|
55,556
|
$
13
|
I
(1)
|
By Altima Services UK Limited
|