⌘K

Home/Filings/4/0001140361-15-015535

4//SEC Filing

ALKALINE WATER Co INC 4

Accession 0001140361-15-015535

$WTERCIK 0001532390operating

View on SEC.gov Company Profile

Filed

Apr 14, 8:00 PM ET

Accepted

Apr 15, 7:41 PM ET

Size

14.9 KB

Accession

0001140361-15-015535

Insider Transaction Report

Form 4

Period: 2015-02-18

ALKALINE WATER Co INCWTR

Nickolas Steven Paul

DirectorPresident CEO Chairman10% Owner

Transactions

Award
Stock Options
2015-02-18$0.12/sh+800,000$92,000→ 7,400,000 total
Exercise: $0.12From: 2015-02-18Exp: 2020-02-18→ Common (800,000 underlying)

Holdings

Common Stock
(indirect: By LLC)
18,800,000
Stock Options
Exercise: $0.15From: 2014-05-21Exp: 2024-05-21→ Common (3,000,000 underlying)
6,600,000
Stock Options
Exercise: $0.15From: 2013-10-09Exp: 2023-10-09→ Common (3,000,000 underlying)
3,000,000
Common Stock
(indirect: By LLC)
21,500,000
Series A Preferred Stock
10,000,000
Stock Options
Exercise: $0.17From: 2014-05-12Exp: 2019-05-12→ Common (600,000 underlying)
3,600,000

WIN INVESTMENTS, LLC

10% Owner

Transactions

Award
Stock Options
2015-02-18$0.12/sh+800,000$92,000→ 7,400,000 total
Exercise: $0.12From: 2015-02-18Exp: 2020-02-18→ Common (800,000 underlying)

Holdings

Common Stock
(indirect: By LLC)
18,800,000
Stock Options
Exercise: $0.15From: 2013-10-09Exp: 2023-10-09→ Common (3,000,000 underlying)
3,000,000
Stock Options
Exercise: $0.17From: 2014-05-12Exp: 2019-05-12→ Common (600,000 underlying)
3,600,000
Common Stock
(indirect: By LLC)
21,500,000
Series A Preferred Stock
10,000,000
Stock Options
Exercise: $0.15From: 2014-05-21Exp: 2024-05-21→ Common (3,000,000 underlying)
6,600,000

LIFEWATER INDUSTRIES, LLC

10% Owner

Transactions

Award
Stock Options
2015-02-18$0.12/sh+800,000$92,000→ 7,400,000 total
Exercise: $0.12From: 2015-02-18Exp: 2020-02-18→ Common (800,000 underlying)

Holdings

Common Stock
(indirect: By LLC)
18,800,000
Series A Preferred Stock
10,000,000
Common Stock
(indirect: By LLC)
21,500,000
Stock Options
Exercise: $0.15From: 2013-10-09Exp: 2023-10-09→ Common (3,000,000 underlying)
3,000,000
Stock Options
Exercise: $0.17From: 2014-05-12Exp: 2019-05-12→ Common (600,000 underlying)
3,600,000
Stock Options
Exercise: $0.15From: 2014-05-21Exp: 2024-05-21→ Common (3,000,000 underlying)
6,600,000

Footnotes (6)

[F1]Steven P. Nickolas is the manager of WiN Investments, LLC and holds voting and dispositive control over these shares.
[F2]Steven P. Nickolas is the manager of Lifewater Industries, LLC and holds voting and dispositive control over these shares.
[F3]The Series A Preferred Stock has 10 votes per share and is not convertible into shares of common stock.
[F4]The stock options vest as follows: (i) 1,000,000 on October 9, 2013; and (ii) 500,000 per quarter until fully vested.
[F5]The stock options vest as follows: (I) 1,500,000 on May 21, 2014 and (ii) 1,500,000 on November 21, 2014.
[F6]The exercise price of these options was reduced from $0.605 to $0.15 on October 31, 2014.

Documents

1 file

4
doc1.xmlPrimary
FORM 4

Issuer

ALKALINE WATER Co INC

CIK 0001532390

Entity typeoperating

IncorporatedNV

Related Parties

1

filerCIK 0001532390

Filing Metadata

Form type: 4
Filed: Apr 14, 8:00 PM ET
Accepted: Apr 15, 7:41 PM ET
Size: 14.9 KB

View on SEC.gov