SEC Form 4 · accession 0001127602-16-059163
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eugene G Cassis
Officer — Chief Financial Officer
Period of report
Aug 1, 2016
Accepted (ET)
Aug 2, 2016 · 10:57 am EDT
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 | Aug 1, 2016 | M | 12,000 | $79.15 | A | 40,674 | D | |
| Common Stock | Aug 1, 2016 | M | 9,000 | $87.06 | A | 49,674 | D | |
| Common Stock | Aug 1, 2016 | M | 12,000 | $59.44 | A | 61,674 | D | |
| Common Stock | Aug 1, 2016 | M | 15,000 | $79.05 | A | 76,674 | D | |
| Common Stock | Aug 1, 2016 | S | 12,000 | $160.06 | D | 64,674 | D | |
| Common Stock | Aug 1, 2016 | S | 9,000 | $160.16 | D | 55,674 | D | |
| Common Stock | Aug 1, 2016 | S | 12,000 | $159.80 | D | 43,674 | D | |
| Common Stock | Aug 1, 2016 | S | 15,000 | $159.90 | D | 28,674 | D | |
| Common Stock | holding | — | — | — | 1,965 | I | by ESPP | |
| Common Stock | holding | — | — | — | 6,386 | I | by Wife | |
| Common Stock | holding | — | — | — | 2,097 | I | by Wife's 401k | |
| Common Stock | holding | — | — | — | 1,084 | I | by Wife's ESPP |
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) | $79.15 | Aug 1, 2016 | M | 12,000 | D | Dec 7, 2012 | Dec 7, 2021 | Common Stock | 12,000 | 3,000 | D |
| Stock Option (Right to Buy) | $87.06 | Aug 1, 2016 | M | 9,000 | D | Dec 11, 2013 | Dec 11, 2022 | Common Stock | 9,000 | 6,000 | D |
| Stock Option (Right to Buy) | $59.44 | Aug 1, 2016 | M | 12,000 | D | Dec 9, 2010 | Dec 9, 2019 | Common Stock | 12,000 | 0 | D |
| Stock Option (Right to Buy) | $79.05 | Aug 1, 2016 | M | 15,000 | D | Dec 9, 2011 | Dec 9, 2020 | Common Stock | 15,000 | 0 | D |