SEC Info - Keay Aaron - ‘4’ for 3/13/23 re: Alkaline Water Co. Inc.

FORM 4

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

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3235-0287

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(Print or Type Responses)

1. Name and Address of Reporting Person ^*

KEAY AARON

2. Issuer Name and Ticker or Trading Symbol
ALKALINE WATER Co INC [WTER]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

_____ Director

_____ 10% Owner

_____ Officer (give title below)

__X__ Other (specify below)

Former Director

(Last)

(First)

(Middle)

7325 BLENHEIM STREET

3. Date of Earliest Transaction (Month/Day/Year)
3/13/23

(Street)

VANCOUVER, A1 V6N 1S2

4. If Amendment, Date Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

(City)

(State)

(Zip)

Rule 10b5-1(c) Transaction Indication
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned

1.Title of Security
(Instr. 3)

2. Transaction Date (Month/Day/Year)

2A. Deemed Execution Date, if any (Month/Day/Year)

3. Transaction Code
(Instr. 8)

4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)

5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)

6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)

7. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

Amount

(A) or (D)

Price

Common Stock

1,125,000

Common Stock

2,000,000

Klutch Financial Corp.

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

SEC 1474 (9-02)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
(Instr. 3)

2. Conversion or Exercise Price of Derivative Security

3. Transaction Date (Month/Day/Year)

3A. Deemed Execution Date, if any (Month/Day/Year)

4. Transaction Code
(Instr. 8)

5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)

6. Date Exercisable and Expiration Date
(Month/Day/Year)

7. Title and Amount of Underlying Securities
(Instr. 3 and 4)

8. Price of Derivative Security
(Instr. 5)

9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)

10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)

11. Nature of Indirect Beneficial Ownership
(Instr. 4)

Code

(A)

(D)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Stock Options

$1.29

4/28/17 ⁽¹⁾

4/28/27

Common

350,000

Stock Options

$0.53

4/3/20 ⁽²⁾

4/2/30

Common

250,000

600,000

Stock Options

$1.09

3/31/21 ⁽³⁾

3/31/31

Common

250,000

850,000

Reporting Owners

Reporting Owner Name / Address

Relationships

Director

10% Owner

Officer

Other

KEAY AARON
7325 BLENHEIM STREET
VANCOUVER, A1 V6N 1S2

Former Director

Signatures

/s/ Aaron Keay

3/23/23

^**Signature of Reporting Person

Date

Explanation of Responses:

If the form is filed by more than one reporting person, see Instruction 4(b)(v).

Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

(1)

1/4 of the options will vest on April 28, 2017 (the "Date of Grant"); on each anniversary date of the Date of Grant, additional 1/4 of the options will vest; provided, however, the options will stop vesting in the event that the Reporting Person's continuous service terminates (other than upon the Reporting Person's death or disability) while the options will continue vesting in the event that the Reporting Person's continuous service terminates as a result of the Reporting Person's death or disability.

(2)

50% vest on April 3, 2020 and 50% vest on April 3, 2021.

(3)

50% vest on March 31, 2021 and 50% vest on March 31, 2022.

Remarks:
On March 13, 2023, the Reporting Person resigned as a director of The Alkaline Water Company Inc.

Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.

Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.

Keay Aaron – ‘4’ for 3/13/23 re: Alkaline Water Co. Inc.

On: Thursday, 3/23/23, at 2:28pm ET · For: 3/13/23 · Accession #: 1085037-23-46 · File #: 1-38754

Previous ‘4’: ‘4’ on 11/25/22 for 11/16/22 · Latest ‘4’: This Filing

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34

Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Reporting Owners

Signatures

Explanation of Responses:

Keay Aaron – ‘4’ for 3/13/23 re: Alkaline Water Co. Inc.

On: Thursday, 3/23/23, at 2:28pm ET · For: 3/13/23 · Accession #: 1085037-23-46 · File #: 1-38754

Previous ‘4’: ‘4’ on 11/25/22 for 11/16/22 · Latest ‘4’: This Filing

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Reporting Owners

Signatures

Explanation of Responses:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34

Filing Table of Contents