SEC Form 4/A · accession 0001127602-17-001019
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Thomas P Salice
Director
Period of report
Jan 4, 2016
Accepted (ET)
Jan 5, 2017 · 3:29 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,F2 | Jan 4, 2016 | A | 843 | $0.00 | A | 12,043 | D | |
| Common Stock | holding | — | — | — | 7,950 | I | By Family Charitable Trust | |
| Common StockF3 | holding | — | — | — | 69,648 | I | By Limited Liability Company | |
| Common Stock | holding | — | — | — | 3,000 | I | By Rollover Ira |
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,F4 | $130.35 | Jan 4, 2016 | A | 3,761 | A | Jan 4, 2017 | Jan 4, 2026 | Common Stock | 3,761 | 3,761 | D |
Explanation of responses
- F1The purpose of this amended filing is to correctly report the number of stock and stock option awards.
- F2Grant of shares of common stock subject to restrictions that lapse January 4, 2017.
- F3The reported securities are held by SRB Investments LLC, a limited liability company of which the reporting person is the sole Operations Manager. The reporting person disclaims beneficial ownership of the WAT common stock held by SRB Investments LLC except to the extent of his pecuniary interest therein.
- F4Options fully vest on January 4, 2017.