SEC Form 4 · accession 0001127602-16-054474
MKS INC · MKSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Dennis L Werth
Officer — Sr. VP, Business Units
Period of report
May 31, 2016
Accepted (ET)
Jun 2, 2016 · 4:31 pm EDT
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 UnitF1,F2 | — | May 31, 2016 | A | 6,101 | A | — | — | Common Stock | 6,101 | 13,964 | D |
| Restricted Stock UnitF1,F3 | — | May 31, 2016 | A | 9,151 | A | — | — | Common Stock | 9,151 | 9,151 | D |
| Restricted Stock UnitF1,F4 | — | May 31, 2016 | A | 3,660 | A | — | — | Common Stock | 3,660 | 17,624 | D |
| Restricted Stock UnitF1,F4 | — | May 31, 2016 | A | 13,529 | A | — | — | Common Stock | 13,529 | 31,152 | D |
Explanation of responses
- F1Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
- F2These RSUs vest in three equal annual installments commencing on February 15, 2017, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
- F3These RSUs are subject to the achievement of performance criteria determined in the first year of grant and thereafter vest in three equal annual installments beginning on February 15, 2017, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
- F4These RSUs vest in three annual installments as follows: 20% of the RSUs vests on February 15, 2017, 30% of the RSUs vests on February 15, 2018 and the remaining 50% of the RSUs vests on February 15, 2019, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.