SEC Form 4 · accession 0001127602-16-035615
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Joann A Reed
Director
Period of report
Jan 4, 2016
Accepted (ET)
Jan 5, 2016 · 10:54 am 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 StockF1 | Jan 4, 2016 | M | 2,462 | $44.25 | A | 15,162 | D | |
| Common StockF2 | Jan 4, 2016 | S | 2,462 | $132.17 | D | 12,700 | D | |
| Common StockF1 | Jan 4, 2016 | M | 2,541 | $48.88 | A | 15,241 | D | |
| Common StockF2 | Jan 4, 2016 | S | 2,541 | $132.18 | D | 12,700 | D | |
| Common StockF3 | Jan 4, 2016 | A | 3,761 | $0.00 | A | 16,461 | 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)F1 | $44.25 | Jan 4, 2016 | M | 2,462 | D | May 11, 2007 | May 11, 2016 | Common Stock | 2,462 | 1,538 | D |
| Stock Option (Right to Buy)F1 | $48.88 | Jan 4, 2016 | M | 2,541 | D | Jan 3, 2008 | Jan 3, 2017 | Common Stock | 2,541 | 1,459 | D |
| Stock Option (Right to Buy)F4 | $130.35 | Jan 4, 2016 | A | 843 | A | Jan 4, 2017 | Jan 4, 2026 | Common Stock | 843 | 843 | D |
Explanation of responses
- F1Acquisition of common stock was made under a sale plan established pursuant to the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2Sale of common stock was made under a sale plan established pursuant to the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F3Grant of shares of common stock subject to restrictions that lapse January 4, 2017.
- F4Options fully vest on January 4, 2017.