SEC Form 4 · accession 0001127602-17-005683
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
Feb 13, 2017
Accepted (ET)
Feb 14, 2017 · 9:58 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 Stock | Feb 13, 2017 | M | 3,000 | $79.15 | A | 31,027 | D | |
| Common Stock | Feb 13, 2017 | S | 3,000 | $150.39 | D | 28,027 | D | |
| Common Stock | Feb 13, 2017 | M | 3,000 | $87.06 | A | 31,027 | D | |
| Common Stock | Feb 13, 2017 | S | 3,000 | $150.40 | D | 28,027 | D | |
| Common Stock | Feb 13, 2017 | M | 15,000 | $98.21 | A | 43,027 | D | |
| Common Stock | Feb 13, 2017 | S | 15,000 | $149.81 | D | 28,027 | 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 | Feb 13, 2017 | M | 3,000 | D | Dec 7, 2012 | Dec 7, 2021 | Common Stock | 3,000 | 0 | D |
| Stock Option (Right to Buy) | $87.06 | Feb 13, 2017 | M | 3,000 | D | Dec 11, 2013 | Dec 11, 2022 | Common Stock | 3,000 | 3,000 | D |
| Stock Option (Right to Buy) | $98.21 | Feb 13, 2017 | M | 15,000 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 15,000 | 10,000 | D |