SEC Form 4 · accession 0001127602-17-034746
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eugene G Cassis
Officer — SVP
Period of report
Dec 13, 2017
Accepted (ET)
Dec 15, 2017 · 10:35 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 | Dec 13, 2017 | G | 5,000 | $0.00 | D | 15,100 | D | |
| Common Stock | Dec 13, 2017 | M | 3,000 | $87.06 | A | 18,100 | D | |
| Common Stock | Dec 13, 2017 | S | 3,000 | $197.43 | D | 15,100 | D | |
| Common Stock | Dec 13, 2017 | M | 5,000 | $98.21 | A | 20,100 | D | |
| Common Stock | Dec 13, 2017 | S | 5,000 | $197.18 | D | 15,100 | D | |
| Common Stock | Dec 13, 2017 | M | 8,000 | $113.36 | A | 23,100 | D | |
| Common Stock | Dec 13, 2017 | S | 8,000 | $197.81 | D | 15,100 | D | |
| Common Stock | Dec 13, 2017 | M | 7,863 | $128.93 | A | 22,963 | D | |
| Common Stock | Dec 13, 2017 | S | 7,863 | $197.51 | D | 15,100 | D | |
| Common Stock | holding | — | — | — | 2,148 | I | by ESPP | |
| Common Stock | holding | — | — | — | 6,386 | I | by Wife | |
| Common Stock | holding | — | — | — | 2,078 | 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) | $87.06 | Dec 13, 2017 | M | 3,000 | D | Dec 11, 2013 | Dec 11, 2022 | Common Stock | 3,000 | 0 | D |
| Stock Option (Right to Buy) | $98.21 | Dec 13, 2017 | M | 5,000 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 5,000 | 5,000 | D |
| Stock Option (Right to Buy) | $113.36 | Dec 13, 2017 | M | 8,000 | D | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 8,000 | 16,000 | D |
| Stock Option (Right to Buy) | $128.93 | Dec 13, 2017 | M | 7,863 | D | Dec 9, 2016 | Dec 9, 2025 | Common Stock | 7,863 | 23,589 | D |