FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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(Print or Type Responses) |
1. Name and Address of Reporting Person* Berthiaume Douglas A. |
2. Issuer Name and Ticker or Trading Symbol Waters Corp. WAT |
6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director 10% Owner X Officer (give title below) Other (specify below) Chairman and CEO |
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(Last)
(First)
(Middle) 34 Maple Street |
3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) |
4. Statement for Month/Day/Year 11/21/02 |
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(Street) Milford MA 01757 |
5. If Amendment, Date of Original (Month/Day/Year) |
7. 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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(City) (State) (Zip) | Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | |||||||||||||
1.
Title of Security (Instr. 3) |
2.
Transaction Date
(Month/Day/Year) |
2A.
Deemed Execution Date, if any (Month/Day/Year) |
3.
Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7.
Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | Amount | (A) or (D) | Price | ||||||||||
Common Stock | 11/21/02 | 11/21/02 | G | V | 29,200 | D | 1,538,075 | D | ||||||
Common Stock | 876,314 | I 1. | BY FAMILY TRUST | |||||||||||
Common Stock | 35,234.150 | I | BY 401K PLAN | |||||||||||
Common Stock | 69,000 | I 1. | BY WIFE | |||||||||||
Common Stock | 5,524 | I 1. | BY GST TRUST | |||||||||||
Table II -
Derivative Securities Acquired, Disposed of, or Beneficially
Owned (e.g., puts, calls, warrants, options, convertible securities) |
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1.
Title of Derivative Security (Instr.3) |
2. Conversion or Exercise Price of Derivative Security |
3.
Transaction Date (Month/Day/Year) |
3A.
Deemed Execution Date, if any (Month/Day/Year) |
4.
Transaction Code (Instr. 8) |
5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6.
Date Exerciseable and Expiration Date (Month/Day/Year) |
7.
Title and Amount of Underlying Securities (Instr. 3 and 4) |
8.
Price of Derivative Security (Instr. 5) |
9.
Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10.
Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4) |
11.
Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Explanation of Responses: | |||
1. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or for any other purpose. | |||
/s/ Douglas Berthiaume | 11/25/02 | ||
**Signature of Reporting Person | Date | ||
Reminder: | Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
* | If the form is filed by more than one reporting person, see Instruction 4(b) (v). | |||
** | 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: | File three copies of this Form, on of which must be manually signed. If space is insufficient, see Instruction 6 for procedure |
Additional Comments: |