Current report, item 3.02



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UNITED STATES






SECURITIES AND EXCHANGE COMMISSION





Washington, D.C. 20549





FORM 8-K





CURRENT REPORT




Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934



Date of Report (Date of earliest event reported)


May 20, 2021







THE ALKALINE WATER COMPANY INC.





Exact name of registrant as specified in its charter)



























Nevada










001-38754










EIN 99-0367049




(State or other jurisdiction







(Commission







(IRS Employer




of incorporation)







File Number)







Identification No.)





8541 E. Anderson Drive, Suite 100/101





Scottsdale, Arizona  85255




(Address of principal executive offices and Zip Code)



Registrant's telephone number, including area code:


(480) 656-2423






Not Applicable




(Former name or former address, if changed since last report)



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:



[   ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)



[   ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)



[   ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))



[   ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))



Securities registered pursuant to Section 12(b) of the Act















Title of Each Class




Trading Symbol(s)




Name of each exchange on which registered






Common stock, par value $0.001 per share







WTER







The Nasdaq Stock Market LLC





Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).



Emerging growth company  [  ]



If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.    [   ]








Item 3.02 Unregistered Sales of Equity Securities



Effective as of May 20, 2021, we issued 6,681,090 shares of our series S preferred stock with each vested series S preferred stock being convertible into one share of our common stock.  The series S preferred stock will vest as to one-third on May 12, 2021, one-third on May 1, 2022 and one-third on May 1, 2023.  We issued these shares to one U.S. Person (as that term is defined in Regulation S of the Securities Act of 1933) and in issuing these shares, we relied on the exemption from the registration requirements of the Securities Act of 1933 provided by Section 4(a)(2) of the Securities Act of 1933 and/or Rule 506 promulgated under the Securities Act of 1933.








SIGNATURES



Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.




THE ALKALINE WATER COMPANY INC.
























/s/ Richard A. Wright


Richard A. Wright

President, Chief Executive Officer and Director


May 24, 2021





The above information was disclosed in a filing to the SEC. To see the filing, click here.

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Other recent filings from the company include the following:

Prospectus [Rule 424(b)(3)] - Oct. 25, 2021
Notice of Effectiveness - Oct. 22, 2021
Alkaline Water Company Inc.: The Alkaline Water Company Announces Preliminary Results - Oct. 12, 2021
Unregistered Sales of Equity - Oct. 4, 2021
Unregistered Sales of Equity - Oct. 1, 2021

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