SEC Form 4 · accession 0001127602-17-013545
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
Mar 31, 2017
Accepted (ET)
Apr 3, 2017 · 4:31 pm EDT
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 | Mar 31, 2017 | M | 2,952 | — | A | 7,557 | D | |
| Common StockF1 | Mar 31, 2017 | M | 2,455 | — | A | 10,012 | D | |
| Common Stock | Mar 31, 2017 | F | 2,033 | $68.75 | D | 7,979 | 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 | — | Mar 31, 2017 | M | 2,952 | D | — | — | Common Stock | 2,952 | 28,327 | D |
| Restricted Stock UnitF1,F3 | — | Mar 31, 2017 | M | 2,455 | D | — | — | Common Stock | 2,455 | 25,872 | 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 vested on March 31, 2017.