SEC Form 4 · accession 0001127602-17-006624

MKS INC · MKSI

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

Reporting owner

Gerard G Colella

Officer — CEO, President, Director · Director

Period of report

Feb 15, 2017

Accepted (ET)

Feb 16, 2017 · 4:41 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 15, 2017	M	12,213	—	A	60,406	D
Common Stock^F1	Feb 15, 2017	M	9,456	—	A	69,862	D
Common Stock^F1	Feb 15, 2017	M	15,653	—	A	85,515	D
Common Stock^F1	Feb 15, 2017	M	11,037	—	A	96,552	D
Common Stock	Feb 15, 2017	F	22,755	$67.70	D	73,797	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 Unit^F1,F3	—	Feb 15, 2017	A	33,235	A	—	—	Common Stock	33,235	114,108	D
Restricted Stock Unit^F1,F4	—	Feb 15, 2017	A	22,157	A	—	—	Common Stock	22,157	74,182	D
Restricted Stock Unit^F1,F5	—	Feb 15, 2017	M	12,213	D	—	—	Common Stock	12,213	101,895	D
Restricted Stock Unit^F1,F6	—	Feb 15, 2017	M	9,456	D	—	—	Common Stock	9,456	64,726	D
Restricted Stock Unit^F1,F7	—	Feb 15, 2017	M	15,653	D	—	—	Common Stock	15,653	86,242	D
Restricted Stock Unit^F1,F8	—	Feb 15, 2017	M	11,037	D	—	—	Common Stock	11,037	53,689	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 grant and thereafter vest in three equal annual installments beginning on February 15, 2018, 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 equal annual installments commencing on February 15, 2018, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
F5These 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, 2016, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
F6These RSUs vest in three equal annual installments commencing on February 15, 2016, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
F7These 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.
F8These 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.