Filing Details

Accession Number:
0001140361-15-002123
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-01-20 12:07:49
Reporting Period:
2014-04-04
Filing Date:
2015-01-20
Accepted Time:
2015-01-20 12:07:49
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 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
  1. Steven P. Nickolas is the manager of WiN Investments, LLC and holds voting and dispositive control over these shares.
  2. Steven P. Nickolas is the manager of Lifewater Industries, LLC and holds voting and dispositive control over these shares.
  3. The Series A Preferred Stock has 10 votes per share and is not convertible into shares of common stock.
  4. The stock options vest as follows: (i) 1,000,000 on October 9, 2013; and (ii) 500,000 per quarter until fully vested.
  5. The stock options vest as follows: (I) 1,500,000 on May 21, 2014 and (ii) 1,500,000 on November 21, 2014.
  6. The exercise price of these options was reduced from $0.605 to $0.15 on October 31, 2014.
  7. 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.