SEC Form 4 · accession 0001127602-17-017204
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 5, 2017
Accepted (ET)
May 8, 2017 · 12:51 pm 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 5, 2017 | M | 5,066 | $128.93 | A | 11,464 | D | |
| Common Stock | May 5, 2017 | S | 5,066 | $173.40 | D | 6,398 | D | |
| Common Stock | May 5, 2017 | M | 3,231 | $113.36 | A | 9,629 | D | |
| Common Stock | May 5, 2017 | S | 3,231 | $173.82 | D | 6,398 | D | |
| Common Stock | May 5, 2017 | M | 700 | $98.21 | A | 7,098 | D | |
| Common Stock | May 5, 2017 | S | 700 | $173.94 | 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) | $128.93 | May 5, 2017 | M | 5,066 | D | Dec 9, 2016 | Dec 9, 2025 | Common Stock | 5,066 | 20,264 | D |
| Stock Option (Right to Buy) | $113.36 | May 5, 2017 | M | 3,231 | D | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 3,231 | 16,200 | D |
| Stock Option (Right to Buy) | $98.21 | May 5, 2017 | M | 700 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 700 | 8,000 | D |