SEC Form 4 · accession 0001127602-18-006769

MKS INC · MKSI

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

Reporting owner

John Tseng-Chung Lee

Officer — Sr. VP & COO

Period of report

Feb 15, 2018

Accepted (ET)

Feb 16, 2018 · 5:56 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, 2018	M	3,780	—	A	3,933	D
Common Stock^F1	Feb 15, 2018	M	3,074	—	A	7,007	D
Common Stock^F1	Feb 15, 2018	M	5,218	—	A	12,225	D
Common Stock^F1	Feb 15, 2018	M	4,014	—	A	16,239	D
Common Stock^F1	Feb 15, 2018	M	2,978	—	A	19,217	D
Common Stock^F1	Feb 15, 2018	M	2,461	—	A	21,678	D
Common Stock	Feb 15, 2018	F	8,245	$111.10	D	13,433	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, 2018	A	8,776	A	—	—	Common Stock	8,776	19,952	D
Restricted Stock Unit^F1,F4	—	Feb 15, 2018	A	5,851	A	—	—	Common Stock	5,851	18,539	D
Restricted Stock Unit^F1,F5	—	Feb 15, 2018	M	3,780	D	—	—	Common Stock	3,780	19,372	D
Restricted Stock Unit^F1,F6	—	Feb 15, 2018	M	3,074	D	—	—	Common Stock	3,074	19,163	D
Restricted Stock Unit^F1,F7	—	Feb 15, 2018	M	5,218	D	—	—	Common Stock	5,218	14,154	D
Restricted Stock Unit^F1,F8	—	Feb 15, 2018	M	4,014	D	—	—	Common Stock	4,014	15,149	D
Restricted Stock Unit^F1,F9	—	Feb 15, 2018	M	2,978	D	—	—	Common Stock	2,978	11,176	D
Restricted Stock Unit^F1,F10	—	Feb 15, 2018	M	2,461	D	—	—	Common Stock	2,461	12,688	D

Explanation of responses

F1Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
F10These 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.
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, 2019, 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, 2019, 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.
F9These 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.