SEC Form 4 · accession 0001127602-17-017001
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Terrence P Kelly
Officer — SVP, President TA Instruments
Period of report
May 4, 2017
Accepted (ET)
May 5, 2017 · 11:28 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 | May 4, 2017 | G | 300 | $0.00 | D | 6,398 | D | |
| Common Stock | May 4, 2017 | M | 6,400 | $79.15 | A | 12,798 | D | |
| Common Stock | May 4, 2017 | S | 6,400 | $173.57 | D | 6,398 | D | |
| Common Stock | May 4, 2017 | M | 2,169 | $113.36 | A | 8,567 | D | |
| Common Stock | May 4, 2017 | S | 2,169 | $173.70 | D | 6,398 | D | |
| Common Stock | May 4, 2017 | M | 3,300 | $98.21 | A | 9,698 | D | |
| Common Stock | May 4, 2017 | S | 3,300 | $173.72 | D | 6,398 | D | |
| Common Stock | May 4, 2017 | M | 6,400 | $87.06 | A | 12,798 | D | |
| Common Stock | May 4, 2017 | S | 6,400 | $173.74 | D | 6,398 | D | |
| Common Stock | May 4, 2017 | M | 1,311 | $117.68 | A | 7,709 | D | |
| Common Stock | May 4, 2017 | S | 1,311 | $173.70 | D | 6,398 | 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) | $79.15 | May 4, 2017 | M | 6,400 | D | Dec 7, 2012 | Dec 7, 2021 | Common Stock | 6,400 | 0 | D |
| Stock Option (Right to Buy) | $113.36 | May 4, 2017 | M | 2,169 | D | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 2,169 | 19,431 | D |
| Stock Option (Right to Buy) | $98.21 | May 4, 2017 | M | 3,300 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 3,300 | 8,700 | D |
| Stock Option (Right to Buy) | $87.06 | May 4, 2017 | M | 6,400 | D | Dec 11, 2013 | Dec 11, 2022 | Common Stock | 6,400 | 6,400 | D |
| Stock Option (Right to Buy) | $117.68 | May 4, 2017 | M | 1,311 | D | Feb 10, 2017 | Feb 10, 2026 | Common Stock | 1,311 | 5,248 | D |