Amended Statement of Ownership (sc 13g/a)
February 16 2021 - 12:06PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE
13G/A
(Amendment
No. 3)
Under the Securities Exchange
Act of 1934
Cadiz
Inc.
(Name
of Issuer)
Common Stock
(Title of Class of Securities)
127537207
(CUSIP Number)
December
31, 2020
(Date of Event Which Requires Filing
of this Statement)
Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
x
|
Rule
13d-1(b)
|
o
|
Rule
13d-1(c)
|
o
|
Rule
13d-1(d)
|
*The remainder
of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class
of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover
page.
The information
required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the
Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall
be subject to all other provisions of the Act (however, see the Notes).
Persons who
are to respond to the collection of information contained in this form are not required to respond unless the form displays a
currently valid OMB control number.
CUSIP No. 127537207
|
13G/A
|
Page 2 of 6 Pages
|
|
|
|
|
|
|
|
1.
|
names of reporting
persons
i.r.s. identification no.
of above persons (entities only)
Hoving &
Partners SA
|
2.
|
check the appropriate box if a group*
|
(a)
o
(b)
o
|
3.
|
sec use only
|
4.
|
citizenship or place
of organization
Geneva,
Switzerland
|
number of
shares
|
5.
|
sole voting power
|
14,147,140
|
beneficially
owned by
|
6.
|
shared voting power
|
0
|
each
reporting
|
7.
|
sole dispositive power
|
14,147,140
|
person with:
|
8.
|
shared dispositive power
|
0
|
9.
|
aggregate amount beneficially owned by each reporting person
|
14,147,140
|
10.
|
check
box if the aggregate amount in row (9) excludes certain shares (See Instructions)
|
o
|
11.
|
percent of class represented by amount in row (9)
|
39.8%
|
12.
|
type of reporting person (See Instructions)
|
FI; IA
|
CUSIP No. 127537207
|
13G/A
|
Page
3 of 6 Pages
|
Item 1.
|
|
|
(a) Name
of Issuer:
|
Cadiz
Inc.
|
|
|
|
|
(b) Address
of Issuer’s Principal Executive Offices:
|
550 South Hope Street,
Suite 2850
Los Angeles, CA 90071
|
|
|
|
|
Item
2.
|
|
|
(a) Name
of Person Filing:
|
This
Schedule 13G/A (the “Schedule”) is being filed with respect to shares of Common Stock, $0.01 par value per share (as
defined below) of Cadiz Inc. (the “Issuer”) which are beneficially
owned by Hoving & Partners SA (the “Reporting Person”). See Item 4 below.
|
|
|
|
|
(b) Address
of Principal Business Office or, if none, Residence:
|
30A
Route de Chêne
CH-1208
Genève
|
|
|
|
|
(c) Citizenship:
|
Hoving
& Partners SA is a Switzerland Sociétè Anonyme
|
|
|
|
|
(d) Title
of Class of Securities:
|
Common
Stock, $0.01 par value per share.
|
|
|
|
|
(e) CUSIP
Number:
|
127537207
|
|
|
|
|
Item 3.
|
If
this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
|
|
|
|
(a)
|
o
|
Broker
or dealer registered under section 15 of the Act (15 U.S.C. 78o).
|
|
|
|
|
|
(b)
|
o
|
Bank
as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
|
|
|
|
|
|
(c)
|
o
|
Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
|
|
|
|
|
|
(d)
|
o
|
Investment
company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
|
|
|
|
|
|
(e)
|
o
|
An
investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
|
|
|
|
|
|
(f)
|
o
|
An
employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
|
|
|
|
|
|
(g)
|
o
|
A
parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
|
|
|
|
|
(h)
|
o
|
A
savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
|
|
|
|
|
|
(i)
|
o
|
A
church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company
Act of 1940 (15 U.S.C. 80a-3);
|
|
|
|
|
|
(j)
|
x
|
A
non-U.S. institution, in accordance with §240.13d-1(b)(1)(ii)(J).
|
|
|
|
|
|
(k)
|
o
|
Group,
in accordance with §240.13d-1(b)(1)(ii)(J).
|
CUSIP No. 127537207
|
13G/A
|
Page
4 of 6 Pages
|
Item
4.
|
Ownership.
|
Provide
the following information regarding the aggregate number and percentage of the class of securities of the issuer identified
in Item 1.
The
Information required by Items 4(a) - (c) is set forth in Rows 5-11 of the cover page for the Reporting Person hereto and is incorporated
by reference for the Reporting Person. The percentage ownership of the Reporting Person is based on 35,544,100 outstanding shares
of Common Stock of the Issuer (as of November 3, 2020), as disclosed on the Issuer’s 10-Q filed with the SEC on November
5, 2020.
|
Item
5.
|
Ownership
of Five Percent or Less of a Class.
|
|
|
If
this statement is being filed to report the fact that as of the date hereof the reporting
person has ceased to be the beneficial owner of more than five percent of the class of
securities, check the following: o.
|
Item
6.
|
Ownership
of More Than Five Percent on Behalf of Another Person.
|
|
Not
applicable.
|
|
Item
7.
|
Identification
and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control
Person.
|
|
|
Not
applicable.
|
CUSIP No. 127537207
|
13G/A
|
Page
5 of 6 Pages
|
|
Item 8.
|
Identification and Classification
of Members of the Group.
|
Not applicable.
|
Item 9.
|
Notice of Dissolution
of Group.
|
Not applicable.
|
The
following certification shall be included if the statement is filed pursuant to §240.13d-1(b) with respect to Hoving
& Partners SA:
|
|
|
(a)
|
By
signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are
held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing
or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as
a participant in any transaction having that purpose or effect. x
|
|
|
(b)
|
By
signing below I certify that, to the best of my knowledge and belief, the foreign regulatory scheme applicable to an asset
management company in Switzerland is substantially comparable to the regulatory scheme applicable to the functional equivalent
U.S. institution(s). I also undertake to furnish to the Commission staff, upon request, information that would
otherwise be disclosed in a Schedule 13D. x
|
CUSIP No. 127537207
|
13G/A
|
Page
6 of 6 Pages
|
SIGNATURE
After
reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true,
complete and correct.
|
February 12, 2021
|
|
|
|
HOVING & PARTNERS SA
|
|
|
|
/s/ J.P. Menke
|
|
Signature
|
|
|
|
J.P. Menke/ Board Member
|
|
|
|
/s/ Wackie Eysten
|
|
Signature
|
|
|
|
Wackie Eysten/Board Member
|
The original
statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement
is signed on behalf of a person by his authorized representative other than an executive officer or general partner of the filing
person, evidence of the representative’s authority to sign on behalf of such person shall be filed with the statement, provided,
however, that a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or printed beneath his signature.
NOTE:
Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See
§240.13d-7 for other parties for whom copies are to be sent.
Attention:
|
Intentional misstatements
or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)
|
Cadiz (NASDAQ:CDZI)
Historical Stock Chart
From Mar 2024 to Apr 2024
Cadiz (NASDAQ:CDZI)
Historical Stock Chart
From Apr 2023 to Apr 2024