ALKALINE WATER Co INC 4

Accession 0001140361-16-049846

$WTERCIK 0001532390operating

View on SEC.gov Company Profile

Filed

Feb 1, 7:00 PM ET

Accepted

Feb 2, 5:11 PM ET

Size

19.1 KB

Accession

0001140361-16-049846

Insider Transaction Report

Form 4

Period: 2015-12-10

ALKALINE WATER Co INCWTR

Nickolas Steven Paul

DirectorPresident CEO Chairman10% Owner

Transactions

Other
Common Stock
2015-12-10−30,000→ 346,000 total(indirect: By LLC)
Award
Stock Options
2016-01-29$0.52/sh+1,500,000$780,000→ 1,648,000 total
Exercise: $0.52From: 2016-01-29Exp: 2023-10-07→ Common (1,500,000 underlying)

Holdings

Common Stock
(indirect: By LLC)
430,000
Common Stock
(indirect: By LLC)
376,000
Series A Preferred Stock
10,000,000
Stock Options
Exercise: $7.50From: 2013-10-09Exp: 2023-10-09→ Common (60,000 underlying)
60,000
Stock Options
Exercise: $8.25From: 2014-05-12Exp: 2019-05-12→ Common (12,000 underlying)
72,000
Stock Options
Exercise: $7.28From: 2014-05-21Exp: 2024-05-21→ Common (60,000 underlying)
132,000
Stock Options
Exercise: $5.75From: 2015-02-18Exp: 2020-02-18→ Common (16,000 underlying)
148,000

LIFEWATER INDUSTRIES, LLC

10% Owner

Transactions

Other
Common Stock
2015-12-10−30,000→ 346,000 total(indirect: By LLC)
Award
Stock Options
2016-01-29$0.52/sh+1,500,000$780,000→ 1,648,000 total
Exercise: $0.52From: 2016-01-29Exp: 2023-10-07→ Common (1,500,000 underlying)

Holdings

Stock Options
Exercise: $8.25From: 2014-05-12Exp: 2019-05-12→ Common (12,000 underlying)
72,000
Common Stock
(indirect: By LLC)
376,000
Stock Options
Exercise: $7.50From: 2013-10-09Exp: 2023-10-09→ Common (60,000 underlying)
60,000
Common Stock
(indirect: By LLC)
430,000
Series A Preferred Stock
10,000,000
Stock Options
Exercise: $7.28From: 2014-05-21Exp: 2024-05-21→ Common (60,000 underlying)
132,000
Stock Options
Exercise: $5.75From: 2015-02-18Exp: 2020-02-18→ Common (16,000 underlying)
148,000

WIN INVESTMENTS, LLC

10% Owner

Transactions

Other
Common Stock
2015-12-10−30,000→ 346,000 total(indirect: By LLC)
Award
Stock Options
2016-01-29$0.52/sh+1,500,000$780,000→ 1,648,000 total
Exercise: $0.52From: 2016-01-29Exp: 2023-10-07→ Common (1,500,000 underlying)

Holdings

Series A Preferred Stock
10,000,000
Common Stock
(indirect: By LLC)
376,000
Stock Options
Exercise: $7.28From: 2014-05-21Exp: 2024-05-21→ Common (60,000 underlying)
132,000
Stock Options
Exercise: $5.75From: 2015-02-18Exp: 2020-02-18→ Common (16,000 underlying)
148,000
Stock Options
Exercise: $8.25From: 2014-05-12Exp: 2019-05-12→ Common (12,000 underlying)
72,000
Common Stock
(indirect: By LLC)
430,000
Stock Options
Exercise: $7.50From: 2013-10-09Exp: 2023-10-09→ Common (60,000 underlying)
60,000

Footnotes (7)

[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) 20,000 on October 9, 2013; and (ii) 10,000 per quarter until fully vested.
[F5]The stock options vest as follows: (I) 30,000 on May 21, 2014 and (ii) 30,000 on November 21, 2014.
[F6]Reflects a 50-1 reverse split effective as of December 29, 2015.
[F7]Pursuant to a loan agreement dated February 26, 2015, Byrne United S.A. ("Byrne") loaned Lifewater Industries, LLC ("Lifewater") $300,000 which loan was due and payable 60 days after such advance and was secured by the pledge of the 30,000 shares of common stock pursuant to a stock pledge agreement dated February 26, 2015. The pledge of the shares was bona-fide and as security for the repayment of the loan. After Lifewater defaulted on repayment of the loan, Byrne provided Lifewater with ten days written notice of the default and, after the expiry of such period, foreclosed on the shares pursuant to the stock pledge agreement. The effective date of the transfer of shares was December 10, 2015.

Documents

1 file

4
doc1.xmlPrimary
FORM 4

Issuer

ALKALINE WATER Co INC

CIK 0001532390

→

Entity typeoperating

IncorporatedNV

Related Parties

filerCIK 0001532390

Filing Metadata

Form type: 4
Filed: Feb 1, 7:00 PM ET
Accepted: Feb 2, 5:11 PM ET
Size: 19.1 KB

View on SEC.gov