SEC Form 4 · accession 0001127602-19-001139
WATERS CORP /DE/ · WAT
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Michael J Berendt
Director
Period of report
Jan 2, 2019
Accepted (ET)
Jan 4, 2019 · 1:48 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, 2019 | M | 3,500 | $38.09 | A | 27,411 | D | |
| Common StockF2 | Jan 2, 2019 | S | 3,500 | $184.74 | D | 23,911 | D | |
| Common StockF3 | Jan 2, 2019 | A | 599 | $0.00 | A | 24,510 | 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 | $38.09 | Jan 2, 2019 | M | 3,500 | D | Jan 2, 2010 | Jan 2, 2019 | Common Stock | 3,500 | 0 | D |
| Stock Option (Right to Buy)F4 | $183.41 | Jan 2, 2019 | A | 1,760 | A | Jan 2, 2020 | Jan 2, 2029 | Common Stock | 1,760 | 1,760 | 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 and Exchange Act of 1934, as amended.
- F3Grant of shares of common stock subject to restrictions that lapse January 2, 2020.
- F4Options fully vest on January 2, 2020.