SEC Form 4 · accession 0001127602-17-034964
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
Dec 14, 2017
Accepted (ET)
Dec 18, 2017 · 5:53 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 | Dec 14, 2017 | M | 4,199 | $27.79 | A | 4,199 | D | |
| Common Stock | Dec 14, 2017 | S | 1,617 | $95.615 | D | 2,582 | D | |
| Common Stock | Dec 14, 2017 | D | 1,220 | $95.65 | D | 1,362 | D | |
| Common Stock | Dec 14, 2017 | F | 1,362 | $95.65 | D | 0 | D | |
| Common Stock | Dec 15, 2017 | M | 5,911 | $27.89 | A | 5,911 | D | |
| Common Stock | Dec 15, 2017 | S | 2,022 | $97.90 | D | 3,889 | D | |
| Common Stock | Dec 15, 2017 | D | 1,682 | $98.00 | D | 2,207 | D | |
| Common Stock | Dec 15, 2017 | F | 2,207 | $98.00 | D | 0 | D | |
| Common Stock | holding | — | — | — | 7,995 | I | By The Werth Family Trust |
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 | $27.79 | Dec 14, 2017 | M | 4,199 | D | — | May 17, 2018 | Common Stock | 4,199 | 0 | D |
| Stock Appreciation RightF4 | $27.89 | Dec 15, 2017 | M | 5,911 | D | — | Apr 12, 2019 | Common Stock | 5,911 | 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, 2014.
- F4The stock appreciation right became fully vested on March 31, 2015.