SEC Form 4 · accession 0001127602-19-006962

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

Feb 15, 2019

Accepted (ET)

Feb 19, 2019 · 6:03 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, 2019	M	5,218	—	A	5,462	D
Common Stock^F1	Feb 15, 2019	M	4,014	—	A	9,476	D
Common Stock^F1	Feb 15, 2019	M	2,979	—	A	12,455	D
Common Stock^F1	Feb 15, 2019	M	2,462	—	A	14,917	D
Common Stock^F1	Feb 15, 2019	M	1,989	—	A	16,906	D
Common Stock^F1	Feb 15, 2019	M	1,950	—	A	18,856	D
Common Stock^F1	Feb 15, 2019	M	262	—	A	19,118	D
Common Stock^F1	Feb 15, 2019	M	257	—	A	19,375	D
Common Stock	Feb 15, 2019	F	7,650	$84.70	D	11,725	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, 2019	A	8,264	A	—	—	Common Stock	8,264	23,825	D
Restricted Stock Unit^F1,F4	—	Feb 15, 2019	M	5,218	D	—	—	Common Stock	5,218	12,713	D
Restricted Stock Unit^F1,F5	—	Feb 15, 2019	M	4,014	D	—	—	Common Stock	4,014	19,811	D
Restricted Stock Unit^F1,F6	—	Feb 15, 2019	M	2,979	D	—	—	Common Stock	2,979	9,734	D
Restricted Stock Unit^F1,F7	—	Feb 15, 2019	M	2,462	D	—	—	Common Stock	2,462	17,349	D
Restricted Stock Unit^F1,F8	—	Feb 15, 2019	M	1,989	D	—	—	Common Stock	1,989	7,745	D
Restricted Stock Unit^F1,F9	—	Feb 15, 2019	M	1,950	D	—	—	Common Stock	1,950	15,399	D
Restricted Stock Unit^F1,F8	—	Feb 15, 2019	M	262	D	—	—	Common Stock	262	7,483	D
Restricted Stock Unit^F1,F9	—	Feb 15, 2019	M	257	D	—	—	Common Stock	257	15,142	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 vest in three equal annual installments commencing on February 15, 2020, 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 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.
F5These 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.
F6These 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.
F7These 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.
F8These 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.
F9These 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.