SEC Form 4 · accession 0001127602-15-005537
MKS INC · MKSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Seth H Bagshaw
Officer — Vice President, CFO, Treasurer
Period of report
Feb 10, 2015
Accepted (ET)
Feb 11, 2015 · 5:24 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 | 6,456 | — | A | 23,188 | D | |
| Common StockF1 | Feb 10, 2015 | M | 4,304 | — | A | 27,492 | D | |
| Common Stock | Feb 10, 2015 | F | 3,598 | $35.86 | D | 23,894 | D | |
| Common Stock | Feb 10, 2015 | S | 1,615 | $35.78 | D | 22,279 | 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 | 6,456 | D | — | — | Common Stock | 6,456 | 26,133 | D |
| Restricted Stock UnitF1,F4 | — | Feb 10, 2015 | M | 4,304 | D | — | — | Common Stock | 4,304 | 18,159 | 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.