SEC Form 4 · accession 0001127602-17-034747
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
Dec 13, 2017
Accepted (ET)
Dec 15, 2017 · 10:50 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 | 254 | $0.00 | D | 5,155 | D | |
| Common Stock | Dec 13, 2017 | M | 6,400 | $87.06 | A | 11,555 | D | |
| Common Stock | Dec 13, 2017 | S | 6,400 | $197.78 | D | 5,155 | D | |
| Common Stock | Dec 13, 2017 | M | 4,000 | $98.21 | A | 9,155 | D | |
| Common Stock | Dec 13, 2017 | S | 4,000 | $197.80 | D | 5,155 | D | |
| Common Stock | Dec 13, 2017 | M | 5,400 | $113.36 | A | 10,555 | D | |
| Common Stock | Dec 13, 2017 | S | 5,400 | $197.75 | D | 5,155 | D | |
| Common Stock | Dec 13, 2017 | M | 5,066 | $128.93 | A | 10,221 | D | |
| Common Stock | Dec 13, 2017 | S | 5,066 | $197.22 | D | 5,155 | D | |
| Common Stock | Dec 13, 2017 | M | 4,134 | $139.51 | A | 9,289 | D | |
| Common Stock | Dec 13, 2017 | S | 4,134 | $197.58 | D | 5,155 | 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) | $87.06 | Dec 13, 2017 | M | 6,400 | D | Dec 11, 2013 | Dec 11, 2022 | Common Stock | 6,400 | 0 | D |
| Stock Option (Right to Buy) | $98.21 | Dec 13, 2017 | M | 4,000 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 4,000 | 4,000 | D |
| Stock Option (Right to Buy) | $113.36 | Dec 13, 2017 | M | 5,400 | D | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 5,400 | 10,800 | D |
| Stock Option (Right to Buy) | $128.93 | Dec 13, 2017 | M | 5,066 | D | Dec 9, 2016 | Dec 9, 2025 | Common Stock | 5,066 | 15,198 | D |
| Stock Option (Right to Buy) | $139.51 | Dec 13, 2017 | M | 4,134 | D | Dec 9, 2017 | Dec 9, 2026 | Common Stock | 4,134 | 16,532 | D |