Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ALKALINE WATER Co INCWTER · Entity 8631 | Director · CFO, Secretary and Treasurer | May 16, 2023 | May 18, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ALKALINE WATER Co INC
Report date May 16, 2023 · Filed May 18, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 177,286 |
Reported balance
After 2023-05-16 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2023-05-16 · Grant · Acquired 8,333 · Balance 177,286 F5: These shares were granted as a restricted award under the 2020 Equity Incentive Plan and issued on May 16, 2023 upon vesting. |
| Common StockSEC Table I · non-derivative | Direct | 168,953 |
Reported balance
Holding disclosure · report date 2023-05-16 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 168,953 F6: Reflects the reverse split on the basis of 15:1 which became effective on April 5, 2023. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $7.95 · Expires 2030-04-02 | Direct | 10,000 |
Reported balance
Holding disclosure · report date 2023-05-16 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 10,000 F6: Reflects the reverse split on the basis of 15:1 which became effective on April 5, 2023. F1: 50% vest on April 3, 2020 (the Date of Grant) and 50% vest on the one year anniversary of the Date of Grant. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $16.35 · Expires 2031-03-31 | Direct | 23,333 |
Reported balance
Holding disclosure · report date 2023-05-16 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 23,333 F6: Reflects the reverse split on the basis of 15:1 which became effective on April 5, 2023. F2: 50% vested on March 31, 2021 and 50% vest on March 31, 2022. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $7.65 · Expires 2032-08-23 | Direct | 39,999 |
Reported balance
Holding disclosure · report date 2023-05-16 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 39,999 F6: Reflects the reverse split on the basis of 15:1 which became effective on April 5, 2023. F3: 50% vest on August 23, 2023 and 50% vest on August 23, 2024. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $3.75 · Expires 2032-11-16 | Direct | 46,665 |
Reported balance
Holding disclosure · report date 2023-05-16 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 46,665 F6: Reflects the reverse split on the basis of 15:1 which became effective on April 5, 2023. F4: 50% vest on November 16, 2023 and 50% vest on November 16, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: 50% vest on April 3, 2020 (the Date of Grant) and 50% vest on the one year anniversary of the Date of Grant.
F2: 50% vested on March 31, 2021 and 50% vest on March 31, 2022.
F3: 50% vest on August 23, 2023 and 50% vest on August 23, 2024.
F4: 50% vest on November 16, 2023 and 50% vest on November 16, 2024.
F5: These shares were granted as a restricted award under the 2020 Equity Incentive Plan and issued on May 16, 2023 upon vesting.
F6: Reflects the reverse split on the basis of 15:1 which became effective on April 5, 2023.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 16, 2023 Filed May 18, 2023 18:27 UTC | ALKALINE WATER Co INC WTER · Entity 8631 | GrantCommon Stock | 8,333 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001085037-23-000066 · primary_doc.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO, Secretary and Treasurer 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 177,286 F5 · price: These shares were granted as a restricted award under the 2020 Equity Incentive Plan and issued on May 16, 2023 upon vesting. Read SEC document |
| November 16, 2022 Filed Dec 16, 2022 18:19 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | GrantStock Options · Derivative | 100,000 | $0.25 Strike: $0.25 | $25,000.00 |
DisclosureSEC source: 0001567619-22-021747 · doc1.xml · derivative · entry 6 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700,000 Underlying: Common · 100,000 shares Expires 2032-11-16 F4 · derivative.exercise_date: 50% vest on November 16, 2023 and 50% vest on November 16, 2024. Read SEC document |
| November 16, 2022 Filed Dec 16, 2022 18:19 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | GrantCommon Stock | 125,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-22-021747 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,534,300 F5 · price: These shares were granted as a restricted award under the 2020 Equity Incentive Plan and issued on November 16, 2022 upon vesting. Read SEC document |
| August 23, 2022 Filed Aug 25, 2022 19:47 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | GrantStock Options · Derivative | 250,000 | $0.51 Strike: $0.51 | $127,500.00 |
DisclosureSEC source: 0001567619-22-016693 · doc1.xml · derivative · entry 4 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 600,000 Underlying: Common · 250,000 shares Expires 2032-08-23 F3 · derivative.exercise_date: 50% vest on August 23, 2023 and 50% vest on August 23, 2024. Read SEC document |
| March 31, 2022 Filed Apr 1, 2022 18:56 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | GrantCommon Stock | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-22-007892 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,409,300 F3 · price: These shares were granted as a restricted award under the 2020 Equity Incentive Plan and issued on March 31, 2022 upon vesting. Read SEC document |
| January 15, 2022 Filed Jan 19, 2022 16:35 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | GrantCommon Stock | 300,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-22-001320 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,309,300 F3 · price: These shares were granted as a restricted award under the 2020 Equity Incentive Plan and issued on January 15, 2022 upon vesting. Read SEC document |
| April 30, 2021 Filed May 4, 2021 15:21 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | GrantCommon Stock | 100,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-21-008954 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,009,300 F2 · price: These shares were granted as a restricted award under the 2020 Equity Incentive Plan and issued on April 30, 2021 upon vesting. Read SEC document |
| March 31, 2021 Filed May 4, 2021 15:21 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | GrantStock Options · Derivative | 200,000 | $1.09 Strike: $1.09 | $218,000.00 |
DisclosureSEC source: 0001567619-21-008954 · doc1.xml · derivative · entry 4 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 350,000 Underlying: Common · 200,000 shares Expires 2031-03-31 F3 · derivative.exercise_date: 50% vest on March 31, 2021 and 50% vest on March 31, 2022. Read SEC document |
| April 03, 2020 Filed Apr 6, 2020 18:09 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | GrantStock Options · Derivative | 150,000 | $0.53 Strike: $0.53 | $79,500.00 |
DisclosureSEC source: 0001567619-20-007587 · doc1.xml · derivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common · 150,000 shares Expires 2030-04-02 F1 · derivative.exercise_date: 50% vest on April 3, 2020 (the "Date of Grant") and 50% vest on the one year anniversary of the Date of Grant. Read SEC document |
| April 01, 2020 Filed Apr 1, 2020 19:38 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | ConversionSeries D Preferred Stock | 1,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-007336 · doc1.xml · nonDerivative · entry 4 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series D Preferred Stock is convertible, without the payment of any additional consideration by the holder and at the option of the holder, into one fully paid and non-assessable share of common stock at any time after (i) The Alkaline Water Company Inc. ("Alkaline Water") achieves the consolidated revenue of the company and all of its subsidiaries equal to or greater than $40,000,000 in any 12 month period, ending on the last day of any quarterly period of its fiscal year; or (ii) a Negotiated Trigger Event, defined as an event upon which the Series D Preferred Stock will be convertible as may be agreed by Alkaline Water and the holder in writing from time to time. Read SEC document |
| April 01, 2020 Filed Apr 1, 2020 19:38 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | ConversionCommon Stock | 1,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001567619-20-007336 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,909,300 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: The Series D Preferred Stock is convertible, without the payment of any additional consideration by the holder and at the option of the holder, into one fully paid and non-assessable share of common stock at any time after (i) The Alkaline Water Company Inc. ("Alkaline Water") achieves the consolidated revenue of the company and all of its subsidiaries equal to or greater than $40,000,000 in any 12 month period, ending on the last day of any quarterly period of its fiscal year; or (ii) a Negotiated Trigger Event, defined as an event upon which the Series D Preferred Stock will be convertible as may be agreed by Alkaline Water and the holder in writing from time to time. Read SEC document |
| April 19, 2018 Filed May 2, 2018 17:58 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | OtherCommon Stock | 50,000 | $0.75 | $37,500.00 |
DisclosureSEC source: 0001140361-18-021327 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 909,300 F2 · kind: These shares were transferred from Steven Nickolas at a purchase price of $0.75 per share pursuant to a Transfer Agreement between Steven Nickolas and David Guarino dated April 4, 2018. Read SEC document |
| April 03, 2018 Filed Apr 10, 2018 17:58 UTC | ALKALINE WATER Co INC WTR · Entity 8631 | OtherCommon Stock | 119,300 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-018083 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 859,300 F2 · kind: These shares were transferred from WiN Investments, LLC in order to partially settle a loan in the amount of $150,000 made by David Guarino. F2 · price: These shares were transferred from WiN Investments, LLC in order to partially settle a loan in the amount of $150,000 made by David Guarino. Read SEC document |
| August 09, 2017 Filed Mar 23, 2018 15:49 UTC | ALKALINE WATER Co INC WTER · Entity 8631 | OtherCommon Stock | 130,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-014789 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 740,000 F2 · kind: These shares were issued in consideration for services provided by Mr. Guarino. F2 · price: These shares were issued in consideration for services provided by Mr. Guarino. Read SEC document |
| May 03, 2017 Filed Mar 23, 2018 15:41 UTC | ALKALINE WATER Co INC WTER · Entity 8631 | OtherSeries D Preferred Stock | 1,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001140361-18-014787 · doc1.xml · nonDerivative · entry 2 GUARINO DAVID · CIK 0001211259 · Director · CFO Secretary Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000,000 F1 · security: The Series D Preferred Stock was issued on May 3, 2017 and is convertible, without the payment of any additional consideration by the holder and at the option of the holder, into one fully paid and non-assessable share of common stock at any time after (i) The Alkaline Water Company Inc. ("Alkaline Water") achieves the consolidated revenue of the company and all of its subsidiaries equal to or greater than $40,000,000 in any 12 month period, ending on the last day of any quarterly period of its fiscal year; or (ii) a Negotiated Trigger Event, defined as an event upon which the Series D Preferred Stock will be convertible as may be agreed by Alkaline Water and the holder in writing from time to time. F2 · kind: These shares of the Series D Preferred Stock were issued in consideration for services provided by Mr. Guarino. F2 · price: These shares of the Series D Preferred Stock were issued in consideration for services provided by Mr. Guarino. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.