4//SEC Filing
ALKALINE WATER Co INC 4
Accession 0001140361-15-009915
$WTERCIK 0001532390operating
Filed
Mar 2, 7:00 PM ET
Accepted
Mar 3, 2:47 PM ET
Size
15.2 KB
Accession
0001140361-15-009915
Insider Transaction Report
Form 4
WIN INVESTMENTS, LLC
10% Owner
Transactions
- Sale
Common Stock
2015-02-26−1,500,000→ 18,000,000 total(indirect: By LLC)
Holdings
- 20,300,000(indirect: By LLC)
Common Stock
- 3,000,000
Stock Options
Exercise: $0.15From: 2013-10-09Exp: 2023-10-09→ Common (3,000,000 underlying) - 6,600,000
Stock Options
Exercise: $0.15From: 2014-05-21Exp: 2024-05-21→ Common (3,000,000 underlying) - 21,500,000(indirect: By LLC)
Common Stock
- 3,600,000
Stock Options
Exercise: $0.17From: 2014-05-12Exp: 2019-05-12→ Common (600,000 underlying) - 10,000,000
Series A Preferred Stock
Nickolas Steven Paul
DirectorPresident CEO Chairman10% Owner
Transactions
- Sale
Common Stock
2015-02-26−1,500,000→ 18,000,000 total(indirect: By LLC)
Holdings
- 20,300,000(indirect: By LLC)
Common Stock
- 3,000,000
Stock Options
Exercise: $0.15From: 2013-10-09Exp: 2023-10-09→ Common (3,000,000 underlying) - 10,000,000
Series A Preferred Stock
- 6,600,000
Stock Options
Exercise: $0.15From: 2014-05-21Exp: 2024-05-21→ Common (3,000,000 underlying) - 21,500,000(indirect: By LLC)
Common Stock
- 3,600,000
Stock Options
Exercise: $0.17From: 2014-05-12Exp: 2019-05-12→ Common (600,000 underlying)
LIFEWATER INDUSTRIES, LLC
10% Owner
Transactions
- Sale
Common Stock
2015-02-26−1,500,000→ 18,000,000 total(indirect: By LLC)
Holdings
- 3,000,000
Stock Options
Exercise: $0.15From: 2013-10-09Exp: 2023-10-09→ Common (3,000,000 underlying) - 3,600,000
Stock Options
Exercise: $0.17From: 2014-05-12Exp: 2019-05-12→ Common (600,000 underlying) - 10,000,000
Series A Preferred Stock
- 6,600,000
Stock Options
Exercise: $0.15From: 2014-05-21Exp: 2024-05-21→ Common (3,000,000 underlying) - 21,500,000(indirect: By LLC)
Common Stock
- 20,300,000(indirect: By LLC)
Common Stock
Footnotes (8)
- [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.
- [F7]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.
- [F8]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.
Documents
Issuer
ALKALINE WATER Co INC
CIK 0001532390
Entity typeoperating
IncorporatedNV
Related Parties
1- filerCIK 0001532390
Filing Metadata
- Form type
- 4
- Filed
- Mar 2, 7:00 PM ET
- Accepted
- Mar 3, 2:47 PM ET
- Size
- 15.2 KB