Initial Statement of Beneficial Ownership (3)
February 11 2016 - 12:59PM
Edgar (US Regulatory)
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
King Ian
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2. Date of Event Requiring Statement (MM/DD/YYYY)
2/10/2016
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3. Issuer Name
and
Ticker or Trading Symbol
WATERS CORP /DE/ [WAT]
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(Last)
(First)
(Middle)
34 MAPLE STREET
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
Sr VP, Instrument Technology /
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(Street)
MILFORD, MA 01757
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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4559
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D
(1)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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12/9/2011
(2)
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12/9/2020
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Common Stock
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23000
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$79.05
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D
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Stock Option (Right to Buy)
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12/7/2012
(3)
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12/7/2021
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Common Stock
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23000
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$79.15
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D
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Stock Option (Right to Buy)
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12/11/2013
(4)
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12/11/2022
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Common Stock
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23000
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$87.06
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D
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Stock Option (Right to Buy)
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12/6/2014
(5)
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12/6/2023
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Common Stock
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12000
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$98.21
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D
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Stock Option (Right to Buy)
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12/11/2015
(6)
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12/11/2024
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Common Stock
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19000
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$113.36
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D
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Stock Option (Right to Buy)
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12/9/2016
(7)
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12/9/2025
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Common Stock
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17825
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$128.93
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D
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Explanation of Responses:
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(
1)
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5,091 Restricted Stock Units vest 20% per annum for a 5 year period beginning on December 6, 2014. A total of 811 shares of common stock representing taxes were withheld at vesting dates, December 6, 2014 and December 6, 2015.
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(
2)
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These options vest 20% per annum for a 5 year period beginning on December 9, 2011.
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(
3)
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These options vest 20% per annum for a 5 year period beginning on December 7, 2012.
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(
4)
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These options vest 20% per annum for a 5 year period beginning on December 11, 2013.
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(
5)
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These options vest 20% per annum for a 5 year period beginning on December 6, 2014.
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(
6)
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These options vest 20% per annum for a 5 year period beginning on December 11, 2015.
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(
7)
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These options vest 20% per annum for a 5 year period beginning on December 9, 2016.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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King Ian
34 MAPLE STREET
MILFORD, MA 01757
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Sr VP, Instrument Technology
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Signatures
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/s/ Ian King
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2/11/2016
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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