Home > Insider Trading > Filing (0001140361-15-002123)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1532390	Alkaline Water Co Inc	WTR	Wholesale-Groceries & Related Products (5140)	990367049

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1492757	Paul Steven Nickolas	14301 North 87 Street, Suite 301 Scottsdale AZ 85260	President Ceo Chairman	Yes	Yes	Yes	No
1584123	Lifewater Industries, Llc	14301 North 87 Street, Suite 109 Scottsdale AZ 85260		No	No	Yes	No
1584124	Win Investments, Llc	14301 North 87 Street Suite 109 Scottsdale AZ 85260		No	No	Yes	No

Reported Non-Derivative Transactions

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2014-04-04	1,200,000	$0.00	20,300,000	No	4	S	Indirect	Lifewater Industries, LLC

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	Lifewater Industries, LLC

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	21,500,000	Indirect	WiN Investments, LLC
Common Stock	21,500,000	Indirect	Lifewater Industries, LLC
Series A Preferred Stock	10,000,000	Direct

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common	Stock Options	$0.15	2013-10-09	2023-10-09	3,000,000	3,000,000	Direct
Common	Stock Options	$0.17	2014-05-12	2019-05-12	600,000	3,600,000	Direct
Common	Stock Options	$0.15	2014-05-21	2024-05-21	3,000,000	6,600,000	Direct

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2023-10-09	3,000,000	3,000,000	Direct
2019-05-12	600,000	3,600,000	Direct
2024-05-21	3,000,000	6,600,000	Direct

Footnotes

Steven P. Nickolas is the manager of WiN Investments, LLC and holds voting and dispositive control over these shares.
Steven P. Nickolas is the manager of Lifewater Industries, LLC and holds voting and dispositive control over these shares.
The Series A Preferred Stock has 10 votes per share and is not convertible into shares of common stock.
The stock options vest as follows: (i) 1,000,000 on October 9, 2013; and (ii) 500,000 per quarter until fully vested.
The stock options vest as follows: (I) 1,500,000 on May 21, 2014 and (ii) 1,500,000 on November 21, 2014.
The exercise price of these options was reduced from $0.605 to $0.15 on October 31, 2014.
Lifewater Industries, LLC (Lifewater) transferred 1,200,000 shares of common stock to SSCE Holdings, LLC (SSCE) when SSCE perfected a security interest in these shares which were pledged pursuant to a stock pledge agreement dated April 4, 2014 between Lifewater and SSCE which was security for a loan agreement dated April 4, 2014 between Lifewater and SSCE pursuant to which SSCE loaned $100,000 to Lifewater.