SEC Form 4 · accession 0001127602-15-032125
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Arthur G Caputo
Officer — EVP and President, Waters Div
Period of report
Nov 19, 2015
Accepted (ET)
Nov 20, 2015 · 12:54 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001000697
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Nov 19, 2015 | M | 70,479 | $49.31 | A | 159,158 | D | |
| Common Stock | Nov 19, 2015 | S | 70,479 | $131.47 | D | 88,679 | D | |
| Common Stock | Nov 19, 2015 | M | 13,910 | $49.31 | A | 102,589 | D | |
| Common Stock | Nov 19, 2015 | S | 13,910 | $132.05 | D | 88,679 | D | |
| Common Stock | Nov 19, 2015 | M | 85,000 | $77.94 | A | 173,679 | D | |
| Common Stock | Nov 19, 2015 | S | 85,000 | $131.55 | D | 88,679 | D | |
| Common Stock | Nov 19, 2015 | M | 36,400 | $41.20 | A | 125,079 | D | |
| Common Stock | Nov 19, 2015 | S | 36,400 | $131.59 | D | 88,679 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy) | $49.31 | Nov 19, 2015 | M | 70,479 | D | Dec 13, 2007 | Dec 13, 2016 | Common Stock | 70,479 | 13,910 | D |
| Stock Option (Right to Buy) | $49.31 | Nov 19, 2015 | M | 13,910 | D | Dec 13, 2007 | Dec 13, 2016 | Common Stock | 13,910 | 0 | D |
| Stock Option (Right to Buy) | $77.94 | Nov 19, 2015 | M | 85,000 | D | Dec 11, 2008 | Dec 11, 2017 | Common Stock | 85,000 | 0 | D |
| Stock Option (Right to Buy) | $41.20 | Nov 19, 2015 | M | 36,400 | D | Dec 10, 2009 | Dec 10, 2018 | Common Stock | 36,400 | 63,600 | D |