Initial Statement of Beneficial Ownership (3)
October 01 2019 - 3:27PM
Edgar (US Regulatory)
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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3235-0104
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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
*
Aleman Keeley A |
2. Date of Event Requiring Statement (MM/DD/YYYY)
10/1/2019
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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 |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) SVP General Counsel & Corp Sec / |
(Street)
MILFORD, MA 01757
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock (1) | 1963 | D | |
Common Stock | 112 | I | by Spouse |
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) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | 2/17/2018 (2) | 2/17/2027 | Common Stock | 5722 | $154.33 | D | |
Stock Option (Right to Buy) | 2/23/2019 (3) | 2/23/2028 | Common Stock | 4569 | $208.47 | D | |
Stock Option (Right to Buy) | 2/26/2020 (4) | 2/26/2029 | Common Stock | 4693 | $238.52 | D | |
Explanation of Responses: |
(1) | Common stock and equity awards included in this Form 3 are issued and held in Ms. Aleman's married name. |
(2) | These options vest 20% per annum for a 5 year period beginning on February 17, 2018. |
(3) | These options vest 20% per annum for a 5 year period beginning on February 23, 2019. |
(4) | These options vest 20% per annum for a 5 year period beginning February 26, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Aleman Keeley A 34 MAPLE STREET MILFORD, MA 01757 |
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| SVP General Counsel & Corp Sec |
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Signatures
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/s/ Keeley A. Aleman | | 10/1/2019 |
**Signature of Reporting Person | Date |
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