What changed in this filing

/stocks — the workspaceLOADING

Item 5. Other Information

2018-11-13 compared with 2018-08-14 · 167 added, 187 removed, 44 unchanged (89% of the section changed)

1 unchanged sentence

Exhibit Number

Articles of Incorporation

Articles of Incorporation (incorporated by

reference from our Form S-1 Registration Statement, filed on October 28,

Certificate of Change

(incorporated by reference from our Quarterly Report on Form 10-Q, filed

on August 13, 2013)

Articles of Merger (incorporated by reference

from our Quarterly Report on Form 10-Q, filed on August 13, 2013)

Certificate of Amendment to

Articles of Incorporation (incorporated by reference from our Current

Report on Form 8-K, filed on October 11, 2013)

Certificate of Designation (incorporated by

reference from our Current Report on Form 8-K, filed on October 11, 2013)

Certificate of Designation

Incorporation and Bylaws

Articles of Incorporation (incorporated by reference from

our Form S-1 Registration Statement, filed on October 28, 2011)

Certificate of Change (incorporated by reference from our

Quarterly Report on Form 10-Q, filed on August 13, 2013)

Articles of Merger (incorporated by reference from our

Quarterly Report on Form 10-Q, filed on August 13, 2013)

Certificate of Amendment to Articles of Incorporation

(incorporated by reference from our Current Report on Form 8-K, filed on

November 12, 2013)

Certificate of Change (incorporated by

reference from our Current Report on Form 8-K, filed on December 30, 2015)

Certificate of Amendment to

Articles of Incorporation (incorporated by reference from our Current

Report on Form 8-K, filed on January 25, 2016)

Certificate of Amendment to Certificate of

Designation (incorporated by reference from our Current Report on Form

8-K, filed on January 25, 2016)

Certificate of Designation

October 11, 2013)

Certificate of Designation (incorporated by reference

from our Current Report on Form 8-K, filed on October 11, 2013)

Certificate of Designation (incorporated by reference

from our Current Report on Form 8-K, filed on November 12, 2013)

Certificate of Change (incorporated by reference from our

Current Report on Form 8-K, filed on December 30, 2015)

Certificate of Amendment to Articles of Incorporation

(incorporated by reference from our Current Report on Form 8-K, filed on

January 25, 2016)

Certificate of Amendment to Certificate of Designation

(incorporated by reference from our Current Report on Form 8-K, filed on

January 25, 2016)

Certificate of Designation (incorporated by reference

from our Current Report on Form 8-K, filed on April 5, 2016)

Certificate of Withdrawal of Certificate of Designation

(incorporated by reference from our Current Report on Form 8-K, filed on

April 4, 2017)

Certificate of Withdrawal of Certificate of

Designation (incorporated by reference from our Current Report on Form

8-K, filed on April 4, 2017)

Certificate of Designation

Certificate of Designation (incorporated by reference

from our Current Report on Form 8-K, filed on May 4, 2017)

Certificate of Amendment to Certificate of Designation

(incorporated by reference from our Current Report on Form 8-K, filed on

Certificate of Amendment to Certificate of

Designation (incorporated by reference from our Current Report on Form

8-K, filed on November 6, 2017)

Certificate of Withdrawal of

Certificate of Designation (incorporated by reference from our Quarterly

Report on Form 10-Q, filed on November 20, 2017)

Amended and Restated Bylaws (incorporated by

reference from our Current Report on Form 8- K, filed on March 15, 2013)

Material Contracts

Contract Packer Agreement dated November 14,

2012 between Alkaline 84, LLC and AZ Bottled Water, LLC (incorporated by

reference from our Current Report on Form 8-K, filed on June 5, 2013)

Contract Packer Agreement dated October 7, 2013 with White Water, LLC

(incorporated by reference from our Quarterly Report on Form 10-Q, filed on

November 6, 2017)

Manufacturing Agreement dated August 15, 2013

with Water Engineering Solutions, LLC (incorporated by reference from our

Certificate of Withdrawal of Certificate of Designation

(incorporated by reference from our Quarterly Report on Form 10-Q, filed

on November 20, 2017)

Amended and Restated Bylaws (incorporated by reference

from our Current Report on Form 8-K, filed on October 15, 2018)

Material Contracts

Contract Packer Agreement dated November 14, 2012 between

Alkaline 84, LLC and AZ Bottled Water, LLC (incorporated by reference from

our Current Report on Form 8-K, filed on June 5, 2013)

Contract Packer Agreement dated October 7, 2013 with

White Water, LLC (incorporated by reference from our Quarterly Report on

Form 10-Q, filed on November 13, 2013)

Manufacturing Agreement dated August 15, 2013 with Water

Engineering Solutions, LLC (incorporated by reference from our

Registration Statement on Form S-1, filed on November 27, 2013)

Equipment Lease Agreement dated

January 17, 2014 (incorporated by reference from our Current Report on

Form 8-K, filed on January 27, 2014)

Revolving Accounts Receivable Funding Agreement

dated February 20, 2014 (incorporated by reference from our Current Report

on Form 8-K, filed on February 25, 2014)

Equipment Lease Agreement dated January 17, 2014

(incorporated by reference from our Current Report on Form 8-K, filed on January 27, 2014)

Exhibit Number

Revolving Accounts Receivable Funding Agreement dated

February 20, 2014 (incorporated by reference from our Current Report on

Form 8-K, filed on February 25, 2014)

Form of Securities Purchase Agreement dated as of April

3 unchanged sentences

filed on May 6, 2014)

Exhibit Number

Form of Common Stock Purchase

Warrant (incorporated by reference from our Current Report on Form 8-K,

filed on May 6, 2014)

Form of Placement Agent Common Stock Purchase

Warrant (incorporated by reference from our Current Report on Form 8-K,

filed on May 6, 2014)

Amendment #1 dated February 12,

2014 to Equipment Lease Agreement (incorporated by reference from our

Quarterly Report on Form 10-Q, filed on August 13, 2014)

Equipment Sale/Lease Back Agreement dated April

2, 2014 (incorporated by reference from our Quarterly Report on Form 10-Q,

filed on August 13, 2014)

Agreement dated August 12, 2014

Wainwright & Co., LLC (incorporated by reference from our

Current Report on Form 8-K, filed on August 21, 2014)

Form of Warrant Amendment Agreement

Form of Common Stock Purchase Warrant (incorporated by

reference from our Current Report on Form 8-K, filed on May 6, 2014)

Form of Placement Agent Common Stock Purchase Warrant

(incorporated by reference from our Current Report on Form 8-K, filed on

August 21, 2014)

Form of Common Stock Purchase

Warrant (incorporated by reference from our Current Report on Form 8-K,

filed on August 21, 2014)

Form of Warrant Amendment Agreement

Amendment #1 dated February 12, 2014 to Equipment Lease

Agreement (incorporated by reference from our Quarterly Report on Form

10-Q, filed on August 13, 2014)

Equipment Sale/Lease Back Agreement dated April 2, 2014

(incorporated by reference from our Quarterly Report on Form 10-Q, filed

on August 13, 2014)

Agreement dated August 12, 2014 with H.C.

& Co., LLC (incorporated by reference from our Current Report on Form

8-K, filed on August 21, 2014)

Form of Warrant Amendment Agreement (incorporated by

reference from our Current Report on Form 8-K, filed on August 21, 2014)

Form of Common Stock Purchase Warrant (incorporated by

reference from our Current Report on Form 8-K, filed on August 21, 2014)

Form of Warrant Amendment Agreement (incorporated by

reference from our Current Report on Form 8-K, filed on October 9, 2014)

Form of Common Stock Purchase Warrant (incorporated by

reference from our Current Report on Form 8-K, filed on October 9, 2014)

Master Lease Agreement dated October 28, 2014 with

Veterans Capital Fund, LLC (incorporated by reference from our Current

Report on Form 8-K, filed on November 4, 2014)

Warrant Agreement dated October 28, 2014 with Veterans

Capital Fund, LLC (incorporated by reference from our Current Report on

Form 8-K, filed on November 4, 2014)

Registration Rights Agreement dated October 28, 2014 with

Veterans Capital Fund, LLC (incorporated by reference from our Current

Report on Form 8-K, filed on November 4, 2014)

Form of Amending Agreement to Stock Option Agreement

(incorporated by reference from our Current Report on Form 8-K, filed on

October 9, 2014)

Form of Common Stock Purchase

Warrant (incorporated by reference from our Current Report on Form 8-K,

filed on October 9, 2014)

Master Lease Agreement dated October 28, 2014

with Veterans Capital Fund, LLC (incorporated by reference from our

Current Report on Form 8-K, filed on November 4, 2014)

Warrant Agreement dated October

28, 2014 with Veterans Capital Fund, LLC (incorporated by reference from

our Current Report on Form 8-K, filed on November 4, 2014)

Registration Rights Agreement dated October 28,

2014 with Veterans Capital Fund, LLC (incorporated by reference from our

Current Report on Form 8-K, filed on November 4, 2014)

Form of Amending Agreement to

Stock Option Agreement (incorporated by reference from our Current Report

on Form 8-K, filed on November 4, 2014)

November 4, 2014)

Securities Purchase Agreement dated as of May 11, 2015

11, 2015 with Assurance Funding Solutions LLC (incorporated by reference

from our Annual Report on Form 10-K, filed on July 14, 2015)

Secured Term Note dated May

2015 issued to Assurance Funding Solutions LLC (incorporated by reference

from our Annual Report on Form 10-K, filed on July 14, 2015)

General Security Agreement dated as of May 11,

2015 with Assurance Funding Solutions LLC (incorporated by reference from

our Annual Report on Form 10-K, filed on July 14, 2015)

Securities Purchase Agreement

dated as of August 20, 2015 with Assurance Funding Solutions LLC

(incorporated by reference from our Quarterly Report on Form 10-Q, filed

on November 23, 2015)

Secured Term Note dated August 20, 2015 issued

to Assurance Funding Solutions LLC (incorporated by reference from our

with Assurance Funding Solutions LLC (incorporated by reference from our

Annual Report on Form 10-K, filed on July 14, 2015)

Secured Term Note dated May 2015 issued to Assurance

Funding Solutions LLC (incorporated by reference from our Annual Report on

Form 10-K, filed on July 14, 2015)

General Security Agreement dated as of May 11, 2015 with

Assurance Funding Solutions LLC (incorporated by reference from our Annual

Report on Form 10-K, filed on July 14, 2015)

Securities Purchase Agreement dated as of August 20, 2015

with Assurance Funding Solutions LLC (incorporated by reference from our

Quarterly Report on Form 10-Q, filed on November 23, 2015)

General Security Agreement

dated as of August 20, 2015 with Assurance Funding Solutions LLC

(incorporated by reference from our Quarterly Report on Form 10-Q, filed

on November 23, 2015)

Loan Agreement dated November 30, 2015 with

Neil Rogers (incorporated by reference from our Current Report on Form

8-K, filed on December 4, 2015)

Promissory Note dated November

30, 2015 issued to Neil Rogers (incorporated by reference from our Current

Report on Form 8-K, filed on December 4, 2015)

Escrow Agreement dated November 30, 2015 with

Neil Rogers and Escrow Agent (incorporated by reference from our Current

Report on Form 8-K, filed on December 4, 2015)

Secured Term Note dated August 20, 2015 issued to

Assurance Funding Solutions LLC (incorporated by reference from our

Quarterly Report on Form 10-Q, filed on November 23, 2015)

General Security Agreement dated as of August 20, 2015

with Assurance Funding Solutions LLC (incorporated by reference from our Quarterly Report

on Form 10-Q, filed on November 23, 2015)

Exhibit Number

2013 Equity Incentive Plan

Loan Agreement dated November 30, 2015 with Neil Rogers

(incorporated by reference from our Current Report on Form 8-K, filed on

January 25, 2016)

Loan Agreement dated January 25, 2016 with

December 4, 2015)

Promissory Note dated November 30, 2015 issued to Neil

Rogers (incorporated by reference from our Current Report on Form 8-K,

filed on December 4, 2015)

Escrow Agreement dated November 30, 2015 with Neil Rogers

and Escrow Agent (incorporated by reference from our Current Report on

Form 8-K, filed on December 4, 2015)

2013 Equity Incentive Plan (incorporated by reference

from our Current Report on Form 8-K, filed on January 25, 2016)

Loan Agreement dated January 25, 2016 with Turnstone

(incorporated by reference from our Current Report on Form

8-K, filed on January 25, 2016)

Promissory Note dated January 25, 2016 issued to

Turnstone Capital Inc.

1 unchanged sentence

on Form 8-K, filed on January 25, 2016)

Promissory Note dated January

25, 2016 issued to Turnstone Capital Inc.

(incorporated by reference from

our Current Report on Form 8-K, filed on January 25, 2016)

Escrow Agreement dated January 25, 2016 with

Escrow Agreement dated January 25, 2016 with Turnstone

and Escrow Agent (incorporated by reference from our Current

Report on Form 8-K, filed on January 25, 2016)

Amendment Agreement dated January 25, 2016 with Neil

Rogers (incorporated by reference from our Current Report on Form 8-K,

filed on January 25, 2016)

Employment Agreement dated effective March 1, 2016 with

Nickolas (incorporated by reference from our Current Report on

Form 8-K, filed on April 5, 2016)

Employment Agreement dated effective March 1, 2016 with

Wright (incorporated by reference from our Current Report on

Form 8-K, filed on April 5, 2016)

Form of Promissory Note and Warrant Exchange Agreement

(incorporated by reference from our Current Report on Form 8-K, filed on

June 16, 2016)

Loan Facility Agreement dated September 20, 2016 with

Turnstone Capital Inc.

and Escrow Agent (incorporated by reference from

our Current Report on Form 8-K, filed on January 25, 2016)

Amendment Agreement dated

January 25, 2016 with Neil Rogers (incorporated by reference from our

Current Report on Form 8-K, filed on January 25, 2016)

Employment Agreement dated effective March 1,

2016 with Steven P.

Nickolas (incorporated by reference from our Current

Report on Form 8-K, filed on April 5, 2016)

Employment Agreement dated

effective March 1, 2016 with Richard A.

Wright (incorporated by reference

from our Current Report on Form 8-K, filed on April 5, 2016)

Form of Promissory Note and Warrant Exchange

Agreement (incorporated by reference from our Current Report on Form 8-K,

filed on June 16, 2016)

Loan Facility Agreement dated

September 20, 2016 with Turnstone Capital Inc.

(incorporated by reference from our Current Report

on Form 8-K, filed on September 22, 2016)

Credit and Security Agreement dated February 1, 2017 with

SCM Specialty Finance Opportunities Fund, L.P.

(incorporated by reference

from our Current Report on Form 8-K, filed on September 22, 2016)

Credit and Security Agreement dated February 1,

2017 with SCM Specialty Finance Opportunities Fund, L.P.

(incorporated by

reference from our Current Report on Form 8-K, filed on February 7, 2017)

Payoff Agreement dated February

1, 2017 with Gibraltar Business Capital, LLC (incorporated by reference

from our Current Report on Form 8-K, filed on February 7, 2017)

Form of Stock Option Agreement (incorporated by

reference from our Current Report on Form 8-K, filed on May 4, 2017)

Payoff Agreement dated February 1, 2017 with Gibraltar

Business Capital, LLC (incorporated by reference from our Current Report

on Form 8-K, filed on February 7, 2017)

Form of Stock Option Agreement (incorporated by reference

from our Current Report on Form 8-K, filed on May 4, 2017)

Settlement Agreement and Mutual Release of Claims dated

4 unchanged sentences

Report on Form 8-K, filed on November 6, 2017)

Exchange Agreement and Mutual Release of Claims

dated November 8, 2017 with Ricky Wright (incorporated by reference from

our Current Report on Form 8-K, filed on November 14, 2017)

Stock Option Forfeiture &

General Release dated November 8, 2017 by Ricky Wright and Sharon Wright

(incorporated by reference from our Current Report on Form 8-K, filed on

November 14, 2017)

Form of Warrant Amendment Agreement

(incorporated by reference from our Current Report on Form 8-K, filed on

February 22, 2018)

Form of Common Stock Purchase

Warrant (incorporated by reference from our Current Report on Form 8-K,

filed on March 5, 2018)

2018 Stock Option Plan (incorporated by

reference from our Current Report on Form 8-K, filed on April 25, 2018)

Form of Subscription Agreement

(incorporated by reference from our Current Report on Form 8-K filed on

May 31, 2018)

Rule 13a-14 Certifications

Certification of Principal

Executive Officer Pursuant to Section 302 of the Sarbanes Oxley Act of

Certification of Principal Financial Officer

Pursuant to Section 302 of the Sarbanes Oxley Act of 2002

Exchange Agreement and Mutual Release of Claims dated

November 8, 2017 with Ricky Wright (incorporated by reference from our

Current Report on Form 8-K, filed on November 14, 2017)

Stock Option Forfeiture & General Release dated

November 8, 2017 by Ricky Wright and Sharon Wright (incorporated by

reference from our Current Report on Form 8-K, filed on November 14, 2017)

Form of Warrant Amendment Agreement (incorporated by

reference from our Current Report on Form 8-K, filed on February 22, 2018)

Form of Common Stock Purchase Warrant (incorporated by

reference from our Current Report on Form 8-K, filed on March 5, 2018)

Exhibit Number

2018 Stock Option Plan (incorporated by reference from

our Current Report on Form 8-K, filed on April 25, 2018)

Form of Subscription Agreement (incorporated by reference

from our Current Report on Form 8-K filed on May 31, 2018)

Form of Subscription Agreement (incorporated by reference

from our Current Report on Form 8-K filed on October 3, 2018)

Rule 13a-14 Certifications

Certification of Principal Executive Officer Pursuant to

Section 302 of the Sarbanes Oxley Act of 2002

Certification of Principal Financial Officer Pursuant to

Section 302 of the Sarbanes Oxley Act of 2002

Section 1350 Certifications

Certification of Principal

Executive Officer Pursuant to Section 906 of the Sarbanes Oxley Act of

Certification of Principal Financial Officer

Pursuant to Section 906 of the Sarbanes Oxley Act of 2002

Certification of Principal Executive Officer Pursuant to

Section 906 of the Sarbanes Oxley Act of 2002

Certification of Principal Financial Officer Pursuant to

Section 906 of the Sarbanes Oxley Act of 2002

Interactive Data File

2 unchanged sentences

XBRL Taxonomy Extension Calculation Linkbase

XBRL Taxonomy Extension

Definition Linkbase

XBRL Taxonomy Extension Definition Linkbase

XBRL Taxonomy Extension Label Linkbase

XBRL Taxonomy Extension

Presentation Linkbase

XBRL Taxonomy Extension Presentation Linkbase

*Filed herewith.

2 unchanged sentences

the undersigned, thereunto duly authorized.

THE ALKALINE WATER COMPANY

August 14, 2018

President and Chief Executive Officer

THE ALKALINE WATER COMPANY INC.

November 13, 2018

/s/ Richard A.

President and Chief Executive

(Principal Executive Officer)

August 14, 2018

Chief Financial Officer and Treasurer

(Principal Financial Officer and Principal

November 13, 2018

Chief Financial Officer and

(Principal Financial Officer and

Accounting Officer)

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information