SEC Form 4 · accession 0001127602-18-035986
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 10, 2018
Accepted (ET)
Dec 12, 2018 · 11:53 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 10, 2018 | M | 5,066 | $128.93 | A | 9,541 | D | |
| Common Stock | Dec 10, 2018 | S | 5,066 | $190.00 | D | 4,475 | D | |
| Common Stock | Dec 10, 2018 | M | 710 | $139.51 | A | 5,185 | D | |
| Common Stock | Dec 10, 2018 | S | 710 | $190.03 | D | 4,475 | D | |
| Common Stock | Dec 10, 2018 | M | 706 | $98.21 | A | 5,181 | D | |
| Common Stock | Dec 10, 2018 | S | 706 | $190.03 | D | 4,475 | D | |
| Common Stock | Dec 11, 2018 | M | 3,294 | $98.21 | A | 7,769 | D | |
| Common Stock | Dec 11, 2018 | S | 3,294 | $190.93 | D | 4,475 | D | |
| Common Stock | Dec 11, 2018 | M | 5,400 | $113.36 | A | 9,875 | D | |
| Common Stock | Dec 11, 2018 | S | 5,400 | $190.57 | D | 4,475 | D | |
| Common Stock | Dec 11, 2018 | M | 3,423 | $139.51 | A | 7,898 | D | |
| Common Stock | Dec 11, 2018 | S | 3,423 | $190.93 | D | 4,475 | D | |
| Common Stock | Dec 11, 2018 | S | 2,429 | $186.76 | D | 2,046 | D | |
| Common Stock | Dec 11, 2018 | G | 100 | $0.00 | D | 1,946 | 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)F1 | $189.54 | Dec 10, 2018 | A | 13,662 | A | Dec 10, 2019 | Dec 10, 2028 | Common Stock | 13,662 | 13,662 | D |
| Stock Option (Right to Buy) | $128.93 | Dec 10, 2018 | M | 5,066 | D | Dec 9, 2016 | Dec 9, 2025 | Common Stock | 5,066 | 10,132 | D |
| Stock Option (Right to Buy) | $139.51 | Dec 10, 2018 | M | 710 | D | Dec 9, 2017 | Dec 9, 2026 | Common Stock | 710 | 15,822 | D |
| Stock Option (Right to Buy) | $98.21 | Dec 10, 2018 | M | 706 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 706 | 706 | D |
| Stock Option (Right to Buy) | $98.21 | Dec 11, 2018 | M | 3,294 | D | Dec 6, 2014 | Dec 6, 2023 | Common Stock | 3,294 | 706 | D |
| Stock Option (Right to Buy) | $113.36 | Dec 11, 2018 | M | 5,400 | D | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 5,400 | 5,400 | D |
| Stock Option (Right to Buy) | $139.51 | Dec 11, 2018 | M | 3,423 | D | Dec 9, 2017 | Dec 9, 2026 | Common Stock | 3,423 | 12,399 | D |
Explanation of responses
- F1These options vest 20% per annum for a 5 y ear period beginning on December 10, 2019.