SEC Form 4 · accession 0001127602-18-006783

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

Feb 15, 2018

Accepted (ET)

Feb 16, 2018 · 6:05 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^F1	Feb 15, 2018	M	2,085	—	A	2,085	D
Common Stock^F1	Feb 15, 2018	M	1,723	—	A	3,808	D
Common Stock^F1	Feb 15, 2018	M	142	—	A	3,950	D
Common Stock^F1	Feb 15, 2018	M	2,013	—	A	5,963	D
Common Stock^F1	Feb 15, 2018	M	2,034	—	A	7,997	D
Common Stock^F1	Feb 15, 2018	M	4,058	—	A	12,055	D
Common Stock^F1	Feb 15, 2018	M	1,098	—	A	13,153	D
Common Stock	Feb 15, 2018	F	5,204	$111.10	D	7,949	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
Restricted Stock Unit^F1,F3	—	Feb 15, 2018	A	4,725	A	—	—	Common Stock	4,725	10,910	D
Restricted Stock Unit^F1,F4	—	Feb 15, 2018	A	3,150	A	—	—	Common Stock	3,150	19,968	D
Restricted Stock Unit^F1,F5	—	Feb 15, 2018	M	2,085	D	—	—	Common Stock	2,085	8,197	D
Restricted Stock Unit^F1,F6	—	Feb 15, 2018	M	1,723	D	—	—	Common Stock	1,723	24,149	D
Restricted Stock Unit^F1,F6	—	Feb 15, 2018	M	142	D	—	—	Common Stock	142	24,007	D
Restricted Stock Unit^F1,F7	—	Feb 15, 2018	M	2,013	D	—	—	Common Stock	2,013	6,184	D
Restricted Stock Unit^F1,F8	—	Feb 15, 2018	M	2,034	D	—	—	Common Stock	2,034	21,973	D
Restricted Stock Unit^F1,F9	—	Feb 15, 2018	M	4,058	D	—	—	Common Stock	4,058	17,915	D
Restricted Stock Unit^F1,F9	—	Feb 15, 2018	M	1,098	D	—	—	Common Stock	1,098	16,817	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, 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, 2018, 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, 2018, 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 vest in three annual installments as follows: 20% of the RSUs vests on February 15, 2017, 30% of the RSUs vests on February 15, 2018 and the remaining 50% of the RSUs vests 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.