SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(b),
(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(b)
(Amendment No.1)
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Waters Corporation
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
941848103
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(CUSIP Number)
August 18, 1997
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
[_] Rule 13d-1(b)
[_] Rule 13d-1(c)
[X] Rule 13d-1(d)
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(1) The remainder of this cover page shall be filled out for a reporting
person's initial filing on this form with respect to the subject class of
securities, and for any subsequent amendment containing information which would
alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be
deemed to be "filed" for the purpose of Section 18 of the Securities Exchange
Act of 1934 ("Act") or otherwise subject to the liabilities of that section of
the Act but shall be subject to all other provisions of the Act (however, see
the Notes).
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1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Douglas A. Berthiaume
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
N/A (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
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5 SOLE VOTING POWER
6,132,440
NUMBER OF --------------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY 950,838
EACH --------------------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 6,132,440
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8 SHARED DISPOSITIVE POWER
950,838
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,083,278
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[_]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.34%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
ITEM 1(a). NAME OF ISSUER:
Waters Corporation
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
34 Maple Street
Milford, MA 01757
ITEM 2(a). NAME OF PERSON FILING:
Douglas A. Berthiaume
ITEM 2(b). RESIDENCE:
18 Buttonwood Drive
Andover, MA 01810
ITEM 2(c). CITIZENSHIP:
United States of America
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock
ITEM 2(e). CUSIP NUMBER:
941848103
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR
13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) [_] Broker or dealer registered under Section 15 of
the Exchange Act;
(b) [_] Bank as defined in Section 3(a)(6) of the Exchange
Act;
(c) [_] Insurance company as defined in Section 3(a)(19)
of the Exchange Act;
(d) [_] Investment company registered under Section 8 of
the Investment Company Act;
(e) [_] An investment adviser in accordance with Rule
13d-1(b)(1)(ii)(E);
(f) [_] An employee benefit plan or endowment fund in
accordance with Rule 13d-1(b)(1)(ii)(F);
(g) [_] A parent holding company or control person in
accordance with Rule 13d-1(b) (1)(ii)(G);
(h) [_] A savings association as defined in Section 3(b)
of the Federal Deposit Insurance Act;
(i) [_] A church plan that is excluded from the definition
of an investment company
under Section 3(c)(14) of the Investment Company Act;
(j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
If this statement is filed pursuant to Rule 13d-1(c),
check this box. [_]
ITEM 4. OWNERSHIP:
(a) Amount beneficially owned: 7,083,278
(b) Percent of class: 5.34%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote: 6,132,440
(ii) Shared power to vote or to direct the vote: 950,838
(iii) Sole power to dispose or to direct the disposition of:
6,132,440
(iv) Shared power to dispose or to direct the disposition of:
950,838
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
N/A
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:
N/A
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY:
N/A
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
N/A
ITEM 9. NOTICE OF DISSOLUTION OF GROUP:
N/A
ITEM 10. CERTIFICATION:
N/A
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
February 13, 2003
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Date
/s/ Douglas A. Berthiaume
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Signature
Douglas A. Berthiaume,
Chairman and Chief Executive Officer
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Name/Title