SEC Form 4 · accession 0001127602-15-005534
MKS INC · MKSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Tseng-Chung Lee
Officer — Sr. VP, Business Units
Period of report
Feb 10, 2015
Accepted (ET)
Feb 11, 2015 · 5:22 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001049502
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Feb 10, 2015 | M | 4,304 | — | A | 4,735 | D | |
| Common StockF1 | Feb 10, 2015 | M | 2,869 | — | A | 7,604 | D | |
| Common Stock | Feb 10, 2015 | F | 2,417 | $35.86 | D | 5,187 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF1,F3 | — | Feb 10, 2015 | M | 4,304 | D | — | — | Common Stock | 4,304 | 14,300 | D |
| Restricted Stock UnitF1,F4 | — | Feb 10, 2015 | M | 2,869 | D | — | — | Common Stock | 2,869 | 15,025 | D |
Explanation of responses
- F1Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
- F2This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
- F3These RSUs are subject to the achievement of performance criteria determined in the first year of the grant and thereafter vests in equal annual installments over three years.
- F4The RSUs vest in equal annual installments over three years.