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MKS INC — Director's Dealing 2015
Feb 25, 2015
30723_dirs_2015-02-25_5b66aab4-d9f3-4b1a-8854-8dc5fcb32170.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2015-02-23
Reporting Person: BAGSHAW SETH H (Vice President, CFO, Treasurer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2015-02-23 | Common Stock | S | 2115 | $35.302 | Disposed | 20163.803 | Direct |
| 2015-02-23 | Common Stock | M | 3115.347 | — | Acquired | 23279.15 | Direct |
| 2015-02-23 | Common Stock | M | 2119.279 | — | Acquired | 25398.429 | Direct |
| 2015-02-23 | Common Stock | F | 1702 | $35.60 | Disposed | 23696.429 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2015-02-23 | Restricted Stock Unit | $ | M | 3115.347 | Disposed | Common Stock (3115.347) | Direct | |
| 2015-02-23 | Restricted Stock Unit | $ | M | 2119.279 | Disposed | Common Stock (2119.279) | Direct |
Footnotes
F1: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
F2: This transaction was executed in multiple trades at prices ranging from $35.04 to $35.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, the full information regarding the number of shares and prices at which the transaction was effected.
F3: Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
F4: These RSUs are subject to the achievement of performance criteria determined in the first year of grant and thereafter vest in three equal annual installments commencing on the first anniversary of the grant date, with the exception of RSUs granted on or after February 15, 2015, in which case, the annual vesting date shall be (i) February 15th or (ii) the next business day if February 15th is not a business day.
F5: These RSUs vest in three equal annual installments commencing on the first anniversary of the grant date, with the exception of RSUs granted on or after February 15, 2015, in which case, the annual vesting date shall be (i) February 15th or (ii) the next business day if February 15th is not a business day.