Filing Details
- Accession Number:
- 0001140361-15-009915
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-03 14:47:45
- Reporting Period:
- 2015-02-26
- Filing Date:
- 2015-03-03
- Accepted Time:
- 2015-03-03 14:47:45
- SEC Url:
- Form 4 Filing
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 | 2015-02-26 | 1,500,000 | $0.00 | 18,000,000 | 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 | 20,300,000 | 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 1,500,000 shares of common stock to Byrne United S.A., BVI ("Byrne") pursuant to a transfer agreement dated February 12, 2015 which served as an inducement for Byrne to enter into a loan agreement dated February 12, 2015 between Lifewater and Byrne pursuant to which Byrne loaned $300,000 to Lifewater.
- As security for the loan agreement dated February 12, 2015 between Lifewater and Byrne, Lifewater also entered into a stock pledge agreement dated February 12, 2015 pursuant to which Lifewater granted a security interest in favor of Byrne for additional 1,500,000 shares of common stock.