CADIZ INC
For the period ended Mar 31, 2024. Filed May 14, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 14, 2024
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ITEM 6. Exhibits
| ITEM 6. | Exhibits |
The following exhibits are filed or incorporated by reference as part of this Quarterly Report on Form 10-Q.
| ** 4.1 | Common Stock Purchase Warrant dated as of March 6, 2024 |
|---|---|
| ** 10.1 | Agreement for the Delivery of Water Made Available by Cadiz Inc. and Fenner Gap Mutual Water Company to Public Water Systems, dated February 28, 2024, among Cadiz Inc., Cadiz Real Estate LLC, Fenner Gap Mutual Water Company and Fontana Water Company |
| ** 10.2 | Term Sheet for the Delivery of Water Made Available by Cadiz Inc. and Fenner Gap Mutual Water Company to Santa Margarita Water District in the Northern Pipeline, dated February 28, 2024, among Cadiz Inc., Fenner Gap Mutual Water Company and Santa Margarita Water District |
| ** 10.3 | Third Amendment to Credit Agreement and First Amendment to Security Agreement, dated as of March 6, 2024, by and among Cadiz Inc., Cadiz Real Estate LLC, ATEC Water Systems, LLC, and Octagon Partners LLC as borrowers, and the lenders party thereto |
| ** 10.4 | Amendment No. 3 to Registration Rights Agreement, dated as of March 6, 2024, by and between Cadiz Inc. and Heerema International Group Services S.A. |
| ** 10.5 | Amendment No. 1 to Board Observer and Nomination Right Agreement, dated as of March 6, 2024, by and between Cadiz Inc. and Heerema International Group Services S.A. |
| ** 10.6 | Key Terms for First Amendment to Option and GSWC’s Conditional Exercise of its Option |
| * 31.1 | Certification of Susan Kennedy, Chief Executive Officer of Cadiz Inc. pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| * 31.2 | Certification of Stanley E. Speer, Chief Financial Officer and Secretary of Cadiz Inc. pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| * 32.1 | Certification of Susan Kennedy, Chief Executive Officer of Cadiz Inc. pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| * 32.2 | Certification of Stanley E. Speer, Chief Financial Officer and Secretary of Cadiz Inc. pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| * 101.INS | Inline XBRL Instance Document (the Instance Document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) |
| * 101.SCH | Inline XBRL Taxonomy Extension Schema Document |
| * 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| * 101.DEF | Inline XBRL Extension Definition Linkbase Document |
| * 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document |
| * 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
| * | Filed concurrently herewith. |
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| ** | Previously filed. |
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Cadiz Inc.
| By: | /s/ Susan Kennedy | May 14, 2024 |
|---|---|---|
| Susan Kennedy | Date | |
| Chief Executive Officer and President | ||
| (Principal Executive Officer) | ||
| By: | /s/ Stanley E. Speer | May 14, 2024 |
| Stanley E. Speer | Date | |
| Chief Financial Officer and Secretary | ||
| (Principal Financial Officer) |
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