SEC Form 4 · accession 0001127602-18-000623
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joann A Reed
Director
Period of report
Jan 2, 2018
Accepted (ET)
Jan 3, 2018 · 4:23 pm 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 StockF1 | Jan 2, 2018 | M | 3,500 | $76.75 | A | 20,846 | D | |
| Common StockF2 | Jan 2, 2018 | S | 1,386 | $194.07 | D | 19,460 | D | |
| Common StockF3 | Jan 2, 2018 | A | 562 | $0.00 | A | 20,022 | D |
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)F1 | $76.75 | Jan 2, 2018 | M | 3,500 | D | Jan 2, 2009 | Jan 2, 2018 | Common Stock | 3,500 | 0 | D |
| Stock Option (Right to Buy)F4 | $195.69 | Jan 2, 2018 | A | 2,692 | A | Jan 2, 2019 | Jan 2, 2028 | Common Stock | 2,692 | 2,692 | D |
Explanation of responses
- F1Acquisition of common stock was made under a sale plan established pursuant to the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F2Sale of common stock was made under a sale plan established pursuant to the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
- F3Grant of shares of common stock subject to restrictions that lapse January 2, 2019.
- F4Options fully vest on January 2, 2019.