SEC Form 4 · accession 0001127602-16-035764
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
Douglas A Berthiaume
Director
Period of report
Jan 4, 2016
Accepted (ET)
Jan 5, 2016 · 3:21 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 StockF1 | Jan 4, 2016 | A | 3,761 | $0.00 | A | 2,209,537 | D | |
| Common Stock | holding | — | — | — | 34,181 | I | By 401k Plan | |
| Common StockF2 | holding | — | — | — | 25,252 | I | By Family Trust | |
| Common StockF3 | holding | — | — | — | 794,562 | I | By Limited Partnership | |
| Common Stock | holding | — | — | — | 69,000 | I | By Wife |
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)F4 | $130.35 | Jan 4, 2016 | A | 843 | A | Jan 4, 2017 | Jan 4, 2026 | Common Stock | 843 | 843 | D |
Explanation of responses
- F1Grant of shares of common stock subject to restrictions that lapse January 4, 2017.
- F2The Reporting Person disclaims beneficial ownership of all shares of the Issuer's Common Stock reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 under the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F3An immediate family member of the reporting person is a general partner of the partnership that owns the reported Common Stock. The reporting person disclaims beneficial ownership of the reported Common Stock, except to the extent (if any) of his pecuniary interest therein.
- F4Options fully vest on January 4, 2017.