Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
What is insider trading>>
- Peter Lynch
What is insider trading>>
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No.3)*
CADIZ INC
-----------------------------------------------------
(Name of Issuer)
Common Stock
-----------------------------------------------------
(Title of Class of Securities)
127537207
-----------------------------------------------------
(CUSIP Number)
NOVEMBER 30, 2006
-----------------------------------------------------
(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)
[ ] Rule 13d-1(c)
[ ] 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 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.
SEC 1745 (3-06)
CUSIP No.127537207 13G Page 2 of 9 Pages
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
Morgan Stanley
I.R.S. #36-314-5972
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY:
- --------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
The state of organization is Delaware.
- --------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 1,407
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 0
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 1,407
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
1,407
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
.01%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
HC, CO
- --------------------------------------------------------------------------------
CUSIP No.127537207 13G Page 3 of 9 Pages
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON:
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
Morgan Stanley & Co. International Limited
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [ ]
(b) [ ]
- --------------------------------------------------------------------------------
3. SEC USE ONLY:
- --------------------------------------------------------------------------------
4. CITIZENSHIP OR PLACE OF ORGANIZATION:
United Kingdom
- --------------------------------------------------------------------------------
NUMBER OF 5. SOLE VOTING POWER:
SHARES 0
BENEFICIALLY --------------------------------------------------------------
OWNED BY 6. SHARED VOTING POWER:
EACH 0
REPORTING --------------------------------------------------------------
PERSON 7. SOLE DISPOSITIVE POWER:
WITH: 0
--------------------------------------------------------------
8. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
0
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:
[ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
0%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON:
BD, CO
- --------------------------------------------------------------------------------
CUSIP No.127537207 13G Page 4 of 9 Pages
Item 1. (a) Name of Issuer:
CADIZ INC
--------------------------------------------------------------
(b) Address of Issuer's Principal Executive Offices:
777 SOUTH FIGUEROA STREET
SUITE 4250
LOS ANGELES, CA 90017
--------------------------------------------------------------
Item 2. (a) Name of Person Filing:
(1) Morgan Stanley
(2) Morgan Stanley & Co. International Limited
--------------------------------------------------------------
(b) Address of Principal Business Office, or if None, Residence:
(1) 1585 Broadway
New York, NY 10036
(2) 25 cabot Square
Canary Wharf, London E14 4QA, England
--------------------------------------------------------------
(c) Citizenship:
(1) The state of organization is Delaware.
(2) United Kingdom
--------------------------------------------------------------
(d) Title of Class of Securities:
Common Stock
--------------------------------------------------------------
(e) CUSIP Number:
127537207
--------------------------------------------------------------
Item 3. If this statement is filed pursuant to Sections 240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) [x] Broker or dealer registered under Section 15 of the Act
(15 U.S.C. 78o).
Morgan Stanley & Co. International Limited
(b) [ ] Bank as defined in Section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) [ ] Insurance company as defined in Section 3(a)(19) of the Act
(15 U.S.C. 78c).
(d) [ ] Investment company registered under Section 8 of the
Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) [ ] An investment adviser in accordance with section
240.13d-1(b)(1)(ii)(E);
(f) [ ] An employee benefit plan or endowment fund in accordance
with Section 240.13d-1(b)(1)(ii)(F);
(g) [x] A parent holding company or control person in accordance
with Section 240.13d-1(b)(1)(ii)(G);
Morgan Stanley
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) [ ] 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) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).
CUSIP No.127537207 13-G Page 5 of 9 Pages
Item 4. Ownership as of November 30, 2006.
(a) Amount beneficially owned:
See the response(s) to Item 9 on the attached cover page(s).
(b) Percent of Class:
See the response(s) to Item 11 on the attached cover page(s).
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote:
See the response(s) to Item 5 on the attached cover page(s).
(ii) Shared power to vote or to direct the vote:
See the response(s) to Item 6 on the attached cover page(s).
(iii) Sole power to dispose or to direct the disposition of:
See the response(s) to Item 7 on the attached cover page(s).
(iv) Shared power to dispose or to direct the disposition of:
See the response(s) to Item 8 on the attached cover page(s).
Item 5. Ownership of Five Percent or Less of a Class.
(1) As of the date hereof, Morgan Stanley has ceased to be the
beneficial owner of more than five percent of the class of
securities.
(2) As of the date hereof, Morgan Stanley & Co. International
Limited has ceased to be the beneficial owner of more than five
percent of the class of securities.
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.
See Exhibit 99.3
Item 8. Identification and Classification of Members of the Group.
Not Applicable
Item 9. Notice of Dissolution of Group.
Not Applicable
Item 10. Certification.
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.
CUSIP No.127537207 13-G Page 6 of 9 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.
Date: December 11, 2006
Signature: /s/ Jill Ostergaard
--------------------------------------------------------------------
Name/Title: Jill Ostergaard/Managing Director, Morgan Stanley
--------------------------------------------------------------------
MORGAN STANLEY
Date: December 11, 2006
Signature: /s/ Derek Bandeen
--------------------------------------------------------------------
Name/Title: Derek Bandeen/Managing Director, Morgan Stanley & Co. International
Limited
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MORGAN STANLEY & CO. INTERNATIONAL LIMITED
EXHIBIT NO. EXHIBITS PAGE
- ----------- ---------- ----
99.1 Joint Filing Agreement 7
99.2 Secretary's Certificate Authorizing Jill Ostergaard 8
to Sign on behalf of Morgan Stanley
99.3 Item 7 Information 9
* Attention. Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
CUSIP No.127537207 13-G Page 7 of 9 Pages
EXHIBIT NO. 99.1 TO SCHEDULE 13G
JOINT FILING AGREEMENT
---------------------------------------------------
DECEMBER 11, 2006
---------------------------------------------------
MORGAN STANLEY and MORGAN STANLEY & CO. INTERNATIONAL LIMITED,
hereby agree that, unless differentiated, this
Schedule 13G is filed on behalf of each of the parties.
MORGAN STANLEY
BY: /s/ Jill Ostergaard
---------------------------------------------------------------------
Jill Ostergaard/Managing Director, Morgan Stanley
MORGAN STANLEY & CO. INTERNATIONAL LIMITED
BY: /s/ Derek Bandeen
---------------------------------------------------------------------
Derek Bandeen/Managing Director, Morgan Stanley & Co. International
Limited
* Attention. Intentional misstatements or omissions of fact constitute federal
criminal violations (see 18 U.S.C. 1001).
CUSIP No.127537207 13-G Page 8 of 9 Pages
EXHIBIT NO. 99.2
------------------
MORGAN STANLEY
SECRETARY'S CERTIFICATE
I, Charlene R. Herzer, a duly elected and acting Assistant Secretary
of Morgan Stanley, a corporation organized and existing under the
laws of the State of Delaware (the "Corporation"), certify as
follows:
(1) Gary G. Lynch is the duly elected Executive Vice President,
Chief Legal Officer and Secretary of the Corporation;
(2) Pursuant to Section 7.01 of the Bylaws of the Corporation
and resolutions approved by the Board of Directors of the
Corporation on September 25, 1998, the Chief Legal Officer
is authorized to enter into agreements and other instruments
on behalf of the Corporation and may delegate such powers
to others under his jurisdiction; and
(3) Mr. Lynch signed a Delegation of Authority, dat
ed as of
April 7, 2006, which authorized Stuart J. M. Breslow,
Dennine Bullard, John H. Faulkner, Christopher L. O'Dell
and Jill W. Ostergaard to sign reports to be filed under
Section 13 and 16 of the Securities Exchange Act of 1934
on behalf of the Corporation. Such authorization is in full
force and effect as of this date
IN WITNESS WHEREOF, I have hereunto set my name and affixed the seal
of the Corporation as of the 10th day of July, 2006.
______________________________
Charlene R. Herzer
Assistant Secretary
CUSIP No.127537207 13-G Page 9 of 9 Pages
EXHIBIT NO. 99.3
------------------
ITEM 7 INFORMATION
The securities being reported upon by Morgan Stanley as a parent
holding company are owned, or may be deemed to be beneficially owned, by
Morgan Stanley & Co. International Limited, a broker dealer registered under
Section 15 of the Securities Exchange Act of 1934, as amended. Morgan Stanley
& Co. International limited is a wholly-owned subsidiary of Morgan Stanley.