SEC Form 4/A · accession 0001127602-16-038164
MKS INC · MKSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
John Tseng-Chung Lee
Officer — Sr. VP, Business Units
Period of report
Jan 30, 2014
Accepted (ET)
Jan 28, 2016 · 11:31 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001049502
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitF3,F1,F4 | — | Jan 30, 2014 | J | 884 | D | — | — | Common Stock | 884 | 10,624 | 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 reflects the forfeiture of RSUs due to performance criteria.
- F3On February 3, 2014, the reporting person mistakenly filed a Form 4 reporting an acquisition of restricted stock units instead of a disposition of restricted stock units.
- F4These 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.