SEC Form 4 · accession 0001127602-16-067890
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
Nov 17, 2016
Accepted (ET)
Nov 21, 2016 · 4:58 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 Stock | Nov 17, 2016 | D | 2,100 | $56.50 | D | 3,738 | D | |
| Common Stock | Nov 17, 2016 | F | 1,405 | $56.50 | D | 2,333 | D | |
| Common Stock | Nov 17, 2016 | S | 2,333 | $56.41 | D | 0 | D | |
| Common Stock | Nov 17, 2016 | M | 5,838 | $20.32 | A | 5,838 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Appreciation RightF3 | $20.32 | Nov 17, 2016 | M | 5,838 | D | — | Mar 31, 2017 | Common Stock | 5,838 | 0 | D |
Explanation of responses
- F1Reflects the disposition of shares to the issuer deemed to occur upon the exercise of a stock appreciation right.
- F2Shares have been withheld in satisfaction of reporting person's tax withholding obligations resulting from the exercise of stock appreciation rights.
- F3The stock appreciation right became fully vested on March 31, 2013.