SEC Form 4 · accession 0001127602-18-029966
MKS INC · MKSI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John R Bertucci
Director
Period of report
Oct 9, 2018
Accepted (ET)
Oct 11, 2018 · 2:11 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 | Oct 9, 2018 | G | 13,732 | $0.00 | D | 0 | I | By John R. Bertucci 2016 Second Qualified Annuity Trust |
| Common StockF2 | Oct 9, 2018 | G | 28,250 | $0.00 | D | 0 | I | By Claire R. Bertucci 2016 Second Qualified Annuity Trust |
| Common Stock | holding | — | — | — | 185,295 | D | ||
| Common Stock | holding | — | — | — | 181,755 | I | By Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reporting person's 2016 Second Grantor Retained Annuity Trust terminated. On October 9, 2018, 13,732 shares in this trust were transferred to the reporting person's beneficiaries and the remaining 14,050 shares were distributed to the reporting person and are reported in this Form 4 as directly owned by the reporting person.
- F2The reporting person's spouse's 2016 Second Grantor Retained Annuity Trust terminated. On October 9, 2018, 28,250 shares in this trust were transferred to the reporting person's spouse's beneficiaries and the remaining 22,750 shares were distributed to the reporting person's spouse and continue to be reported in this Form 4 as indirectly owned by the reporting person's spouse.