SEC Form 4 · accession 0001140361-16-049807
ALKALINE WATER Co INC · WTER
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Richard A Wright
Officer — VP Secretary Treasurer · Director
Period of report
Jan 29, 2016
Accepted (ET)
Feb 2, 2016 · 4:49 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001532390
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Series A Preferred StockF1 | holding | — | — | — | 10,000,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Options | $0.52 | Jan 29, 2016 | A | 1,500,000 | A | Jan 29, 2016 | Oct 7, 2023 | Common | 1,500,000 | 1,648,000 | D |
| Stock OptionsF4,F2 | $7.50 | holding | — | — | — | Oct 9, 2013 | Oct 9, 2023 | Common | 60,000 | 60,000 | D |
| Stock OptionsF4 | $8.25 | holding | — | — | — | May 12, 2014 | May 12, 2019 | Common | 12,000 | 72,000 | D |
| Stock OptionsF4,F3 | $7.275 | holding | — | — | — | May 12, 2014 | May 12, 2024 | Common | 60,000 | 132,000 | D |
| Stock OptionsF4 | $5.75 | holding | — | — | — | Feb 18, 2015 | Feb 18, 2020 | Common | 16,000 | 148,000 | D |
Explanation of responses
- F1The Series A Preferred Stock has 10 votes per share and is not convertible into shares of common stock.
- F2The stock options vest as follows: (i) 20,000 on October 9, 2013; and (ii) 10,000 per quarter until fully vested.
- F3The stock options vest as follows: (i) 30,000 on May 21, 2014 and (ii) 30,000 on November 21, 2014.
- F4Reflects a 50-1 reverse split effective as of December 29, 2015.