SEC Form 4 · accession 0001127602-16-040909
MKS INC · MKSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Abrams
Officer — Sr. VP, Global Sales
Period of report
Feb 10, 2016
Accepted (ET)
Feb 12, 2016 · 2:30 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, 2016 | M | 1,722 | — | A | 5,220 | D | |
| Common StockF1 | Feb 10, 2016 | M | 1,148 | — | A | 6,368 | D | |
| Common Stock | Feb 10, 2016 | F | 1,078 | $32.70 | D | 5,290 | 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, 2016 | M | 1,722 | D | — | — | Common Stock | 1,722 | 6,956 | D |
| Restricted Stock UnitF1,F4 | — | Feb 10, 2016 | M | 1,148 | D | — | — | Common Stock | 1,148 | 6,907 | 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 vest in equal annual installments over three years.
- F4The RSUs vest in equal annual installments over three years from the respective original grant date.