SEC Form 4 · accession 0001127602-19-003058
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
Jan 28, 2019
Accepted (ET)
Jan 30, 2019 · 4:16 pm EST
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,F3 | — | Jan 28, 2019 | J | 2,808 | D | — | — | Common Stock | 2,808 | 18,301 | D |
| Restricted Stock UnitF1,F3 | — | Jan 28, 2019 | J | 370 | D | — | — | Common Stock | 370 | 17,931 | 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 reflects the forfeiture of RSUs due to performance criteria.
- 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.