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MKSI MKS Instruments Inc

115.15
-3.83 (-3.22%)
02 May 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
MKS Instruments Inc NASDAQ:MKSI NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  -3.83 -3.22% 115.15 115.16 135.96 121.24 114.53 117.60 615,375 01:00:00

Statement of Changes in Beneficial Ownership (4)

17/02/2021 11:56pm

Edgar (US Regulatory)


FORM 4 [ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5                       
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Burke Kathleen Flaherty
2. Issuer Name and Ticker or Trading Symbol

MKS INSTRUMENTS INC [ MKSI ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
__X__ Officer (give title below)    _____ Other (specify below)
Sr. VP, GC & Secretary
(Last)          (First)          (Middle)

C/O MKS INSTRUMENTS, INC., 2 TECH DRIVE, SUITE 201
3. Date of Earliest Transaction (MM/DD/YYYY)

2/16/2021
(Street)

ANDOVER, MA 01810
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 2/16/2021  M  1071.322 A (1)35615.896 D  
Common Stock 2/16/2021  M  1050.315 A (1)36666.211 D  
Common Stock 2/16/2021  M  1290.83 A (1)37957.041 D  
Common Stock 2/16/2021  M  1574.183 A (1)39531.224 D  
Common Stock 2/16/2021  M  1844 A (1)41375.224 D  
Common Stock 2/16/2021  M  1280 A (1)42655.224 D  
Common Stock 2/16/2021  F(2)  3225 D$172.20 39430.224 D  

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Restricted Stock Unit  (1)2/16/2021  A   3048.78     (3) (3)Common Stock 3048.78  (1)24633.229 D  
Restricted Stock Unit  (1)2/16/2021  M     1071.322   (4) (4)Common Stock 1071.322  (1)23561.907 D  
Restricted Stock Unit  (1)2/16/2021  M     1050.315   (5) (5)Common Stock 1050.315  (1)22511.592 D  
Restricted Stock Unit  (1)2/16/2021  M     1290.83   (6) (6)Common Stock 1290.83  (1)21220.762 D  
Restricted Stock Unit  (1)2/16/2021  M     1574.183   (7) (7)Common Stock 1574.183  (1)19646.579 D  
Restricted Stock Unit  (1)2/16/2021  M     1844   (8) (8)Common Stock 1844  (1)17802.579 D  
Restricted Stock Unit  (1)2/16/2021  M     1280   (9) (9)Common Stock 1280  (1)16522.579 D  

Explanation of Responses:
(1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
(2) This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
(3) These RSUs vest in three equal annual installments commencing on February 15, 2022, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
(4) These RSUs were subject to performance criteria, the achievement of which was determined on January 28, 2019, 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.
(5) These 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.
(6) These RSUs were subject to performance criteria, the achievement of which was determined on January 27, 2020, and thereafter vest in three equal installments beginning 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.
(7) These 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.
(8) These RSUs were subject to performance criteria, the achievement of which was determined on January 25, 2021, and thereafter vest in three equal annual installments beginning on February 15, 2021, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
(9) These RSUs vest in three equal annual installments commencing on February 15, 2021, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
Burke Kathleen Flaherty
C/O MKS INSTRUMENTS, INC.
2 TECH DRIVE, SUITE 201
ANDOVER, MA 01810


Sr. VP, GC & Secretary

Signatures
/s/ M. Kathryn Rickards, attorney-in-fact2/17/2021
**Signature of Reporting PersonDate

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