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MKS INC — Director's Dealing 2017
Feb 16, 2017
30723_dirs_2017-02-16_55749ef4-0414-4c86-80b8-26c7078bd98a.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: 2017-02-15
Reporting Person: Lee John Tseng-Chung (Sr. VP & COO)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2017-02-15 | Common Stock | M | 3780 | — | Acquired | 8880.753 | Direct |
| 2017-02-15 | Common Stock | M | 3073 | — | Acquired | 11953.753 | Direct |
| 2017-02-15 | Common Stock | M | 5217 | — | Acquired | 17170.753 | Direct |
| 2017-02-15 | Common Stock | M | 4013 | — | Acquired | 21183.753 | Direct |
| 2017-02-15 | Common Stock | F | 6449 | $67.70 | Disposed | 14734.753 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2017-02-15 | Restricted Stock Unit | $ | A | 11078.287 | Acquired | Common Stock (11078.287) | Direct | |
| 2017-02-15 | Restricted Stock Unit | $ | A | 7385.524 | Acquired | Common Stock (7385.524) | Direct | |
| 2017-02-15 | Restricted Stock Unit | $ | M | 3780 | Disposed | Common Stock (3780) | Direct | |
| 2017-02-15 | Restricted Stock Unit | $ | M | 3073 | Disposed | Common Stock (3073) | Direct | |
| 2017-02-15 | Restricted Stock Unit | $ | M | 5217 | Disposed | Common Stock (5217) | Direct | |
| 2017-02-15 | Restricted Stock Unit | $ | M | 4013 | Disposed | Common Stock (4013) | Direct |
Footnotes
F1: Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.
F2: This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.
F3: 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 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.
F4: These 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.
F5: 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 beginning on February 15, 2016, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
F6: These RSUs vest in three equal annual installments commencing on February 15, 2016, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.
F7: 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 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.
F8: These 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.