The following exhibits are filed or incorporated by reference as part of this Quarterly Report on Form 10-Q.
| ** 4.1 | Form of Senior Indenture |
| ** 4.2 | Form of Subordinated Indenture |
| ** 10.1 | Northern Pipeline Delivery Agreement, dated August 13, 2024, by and among Cadiz, Inc., Cadiz Real Estate LLC, Fenner Gap Mutual Water Company and Cucamonga Valley Water District. |
| ** 10.2 | Employment Agreement between Cadiz Inc. and Cathryn Rivera dated as of September 16, 2024 |
| * 10.3 | Successor Agent and Amendment Agreement |
| ** 10.4 | Renewable Energy System Site Lease and Easement Agreement, dated October 21, 2024, between Cadiz Real Estate LLC and RIC Development, LLC |
| ** 10.5 | Placement Agent Agreement, dated as of November 4, 2024, by and between the Company and B. Riley Securities, Inc. |
| ** 10.6 | Purchase Option Agreement, dated November 10, 2024, by and among GMHR Acquisitions Co., LLC, LKM Industries, Inc., North West Iron & Metal LLC and Cadiz Inc. |
| * 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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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 | | November 13, 2024 |
|---|
| Susan Kennedy | Date | |
| Chief Executive Officer | |
| (Principal Executive Officer) | |
| By: | /s/ Stanley E. Speer | | November 13, 2024 |
|---|
| Stanley E. Speer | Date | |
| Chief Financial Officer and Secretary | |
| (Principal Financial Officer) | |
