SEC Form 4 · accession 0001127602-17-006144

MKS INC · MKSI

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Sr. VP, Global Operations

Period of report

Feb 10, 2017

Accepted (ET)

Feb 14, 2017 · 6:27 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
Common Stock^F1	Feb 10, 2017	M	3,013	—	A	12,223	D
Common Stock^F1	Feb 10, 2017	M	2,009	—	A	14,232	D
Common Stock	Feb 10, 2017	F	1,690	$66.95	D	12,542	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Unit^F1,F3	—	Feb 10, 2017	M	3,013	D	—	—	Common Stock	3,013	17,628	D
Restricted Stock Unit^F1,F4	—	Feb 10, 2017	M	2,009	D	—	—	Common Stock	2,009	10,018	D
Restricted Stock Unit^F1,F6	—	Feb 13, 2017	J	1,294	D	—	—	Common Stock	1,294	16,334	D

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.
F5This transaction reflects the forfeiture of RSUs due to performance criteria.
F6These 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.