SEC Form 4 · accession 0001127602-18-017151
MKS INC · MKSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John Tseng-Chung Lee
Officer — President & COO
Period of report
May 9, 2018
Accepted (ET)
May 11, 2018 · 12:21 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001049502
Table I — non-derivative securities
No Table I lines on this filing.
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,F2 | — | May 9, 2018 | A | 772 | A | — | — | Common Stock | 772 | 19,311 | D |
| Restricted Stock UnitF1,F3 | — | May 9, 2018 | A | 1,157 | A | — | — | Common Stock | 1,157 | 21,109 | D |
Explanation of responses
- F1Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
- F2These 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.
- 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.