SEC Form 4 · accession 0001127602-17-030400
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rohit Khanna
Officer — SVP, Applied Technology
Period of report
Oct 27, 2017
Accepted (ET)
Oct 30, 2017 · 7:42 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 | Oct 27, 2017 | M | 9,600 | $98.21 | A | 13,677 | D | |
| Common Stock | Oct 27, 2017 | S | 9,600 | $197.91 | D | 4,077 | D | |
| Common Stock | Oct 27, 2017 | M | 10,000 | $113.36 | A | 14,077 | D | |
| Common Stock | Oct 27, 2017 | S | 10,000 | $197.92 | D | 4,077 | D | |
| Common Stock | Oct 27, 2017 | M | 4,690 | $128.93 | A | 8,767 | D | |
| Common Stock | Oct 27, 2017 | S | 4,690 | $198.01 | D | 4,077 | D | |
| Common Stock | Oct 27, 2017 | M | 2,623 | $117.68 | A | 6,700 | D | |
| Common Stock | Oct 27, 2017 | S | 2,623 | $197.92 | D | 4,077 | D | |
| Common Stock | holding | — | — | — | 183 | 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) | $98.21 | Oct 27, 2017 | M | 9,600 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 9,600 | 6,400 | D |
| Stock Option (Right to Buy) | $113.36 | Oct 27, 2017 | M | 10,000 | D | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 10,000 | 15,000 | D |
| Stock Option (Right to Buy) | $128.93 | Oct 27, 2017 | M | 4,690 | D | Dec 9, 2016 | Dec 9, 2025 | Common Stock | 4,690 | 18,764 | D |
| Stock Option (Right to Buy) | $117.68 | Oct 27, 2017 | M | 2,623 | D | Feb 10, 2017 | Feb 10, 2026 | Common Stock | 2,623 | 10,496 | D |