SEC Form 4 · accession 0001127602-17-028867
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas P Salice
Director
Period of report
Sep 30, 2017
Accepted (ET)
Oct 3, 2017 · 2:50 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 | holding | — | — | — | 16,849 | D | ||
| Common Stock | holding | — | — | — | 7,950 | I | By Family Charitable Trust | |
| Common StockF1 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Phantom Stock UnitsF2,F3 | — | Sep 30, 2017 | A | 145 | A | Sep 30, 2017 | — | Common Stock | 145 | 145 | D |
Explanation of responses
- F1The 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.
- F2COMMON STOCK UNITS ARE CONVERTIBLE INTO COMMON STOCK SHARES ON A ONE TO ONE RATIO.
- F3UPON RESIGNATION AS DIRECTOR.