0001567619-22-020896.txt : 20221125 0001567619-22-020896.hdr.sgml : 20221125 20221125195209 ACCESSION NUMBER: 0001567619-22-020896 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20221123 FILED AS OF DATE: 20221125 DATE AS OF CHANGE: 20221125 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: RAUCH DAVID ERIC CENTRAL INDEX KEY: 0001952472 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38754 FILM NUMBER: 221420951 MAIL ADDRESS: STREET 1: 16767 N PERIMETER DRIVE STREET 2: SUITE 320 CITY: SCOTTSDALE STATE: AZ ZIP: 85260 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ALKALINE WATER Co INC CENTRAL INDEX KEY: 0001532390 STANDARD INDUSTRIAL CLASSIFICATION: WHOLESALE-GROCERIES & RELATED PRODUCTS [5140] IRS NUMBER: 990367049 STATE OF INCORPORATION: NV FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 8541 E ANDERSON DRIVE STREET 2: SUITE 100/101 CITY: SCOTTSDALE STATE: AZ ZIP: 85255 BUSINESS PHONE: 480-656-2423 MAIL ADDRESS: STREET 1: 8541 E ANDERSON DRIVE STREET 2: SUITE 100/101 CITY: SCOTTSDALE STATE: AZ ZIP: 85255 FORMER COMPANY: FORMER CONFORMED NAME: GLOBAL LINES INC DATE OF NAME CHANGE: 20111011 4 1 doc1.xml FORM 4 X0306 4 2022-11-23 0 0001532390 ALKALINE WATER Co INC WTER 0001952472 RAUCH DAVID ERIC 16767 N PERIMETER DRIVE, SUITE 320 SCOTTSDALE AZ 85260 1 0 0 0 Common Stock 2022-11-23 4 P 0 80000 0.25 A 80000 I David and Julie Rauch Trust Series E Preferred Stock 2022-11-23 4 P 0 100000 1.00 A 100000 I David and Julie Rauch Trust Stock Options 0.25 2022-11-16 2032-11-16 Common 100000 100000 D These shares are issued at a deemed price of $0.25 in consideration for the execution of a subscription agreement for the purchase of the Series E Preferred Stock. Each share of Series E Preferred Stock is convertible, after November 23, 2023, at the option of The Alkaline Water Company Inc. (the "Company"), into that number of units of the Company (each, a "Unit") determined by dividing the stated value ($1.00 per share) of such share by $0.25. Each Unit will consist of one share of common stock and one-half of one warrant with each whole warrant entitling the holder to acquire one share of common stock at an exercise price of $0.3125 for three years following conversion. A holder may, at its option, after January 31, 2023, convert all, but no less than all, of shares of Series E Preferred Stock held by such holder into that number of Units determined by dividing the stated value of such shares by $0.25. Each share of the Series E Preferred Stock will also automatically convert, upon the occurrence of a certain fundamental transaction, into that number of Units determined by dividing the stated value of such share by $0.25. David Rauch and Julie Rauch are the only trustees and the only beneficiaries of the David and Julie Rauch Trust. Julie Rauch is the spouse of David Rauch. These options vest as follows: (i) 50% on the first year anniversary of the grant date and (ii) 50% on the second year anniversary of the grant date. /s/ David Rauch 2022-11-25