SEC Form 4 · accession 0001127602-16-059798
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terrence P Kelly
Officer — President, TA Instruments
Period of report
Aug 8, 2016
Accepted (ET)
Aug 9, 2016 · 6:14 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 8, 2016 | M | 4,000 | $98.21 | A | 12,158 | D | |
| Common Stock | Aug 8, 2016 | S | 4,000 | $156.53 | D | 8,158 | D | |
| Common Stock | Aug 8, 2016 | M | 6,400 | $87.06 | A | 14,558 | D | |
| Common Stock | Aug 8, 2016 | S | 6,400 | $157.05 | D | 8,158 | D | |
| Common Stock | Aug 8, 2016 | M | 6,400 | $79.15 | A | 14,558 | D | |
| Common Stock | Aug 8, 2016 | S | 6,400 | $156.53 | D | 8,158 | D | |
| Common Stock | Aug 8, 2016 | M | 6,400 | $79.05 | A | 14,558 | D | |
| Common Stock | Aug 8, 2016 | S | 6,400 | $156.69 | D | 8,158 | D | |
| Common Stock | Aug 8, 2016 | M | 5,400 | $113.36 | A | 13,558 | D | |
| Common Stock | Aug 8, 2016 | S | 5,400 | $156.83 | D | 8,158 | D | |
| Common Stock | holding | — | — | — | 161 | I | by 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) | $98.21 | Aug 8, 2016 | M | 4,000 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 4,000 | 12,000 | D |
| Stock Option (Right to Buy) | $87.06 | Aug 8, 2016 | M | 6,400 | D | Dec 11, 2013 | Dec 11, 2022 | Common Stock | 6,400 | 12,800 | D |
| Stock Option (Right to Buy) | $79.15 | Aug 8, 2016 | M | 6,400 | D | Dec 7, 2012 | Dec 7, 2021 | Common Stock | 6,400 | 6,400 | D |
| Stock Option (Right to Buy) | $79.05 | Aug 8, 2016 | M | 6,400 | D | Dec 9, 2011 | Dec 9, 2020 | Common Stock | 6,400 | 0 | D |
| Stock Option (Right to Buy) | $113.36 | Aug 8, 2016 | M | 5,400 | D | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 5,400 | 21,600 | D |