MKS INC — Director's Dealing 2018

Feb 16, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2018-02-15

Reporting Person: Werth Dennis L (Sr. VP, Business Units)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-02-15	Common Stock	M	2085	—	Acquired	2085	Direct
2018-02-15	Common Stock	M	1723	—	Acquired	3808	Direct
2018-02-15	Common Stock	M	142	—	Acquired	3950	Direct
2018-02-15	Common Stock	M	2013	—	Acquired	5963	Direct
2018-02-15	Common Stock	M	2034	—	Acquired	7997	Direct
2018-02-15	Common Stock	M	4058	—	Acquired	12055	Direct
2018-02-15	Common Stock	M	1098	—	Acquired	13153	Direct
2018-02-15	Common Stock	F	5204	$111.10	Disposed	7949	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-02-15	Restricted Stock Unit	$	A	4725.473	Acquired		Common Stock (4725.473)	Direct
2018-02-15	Restricted Stock Unit	$	A	3150.315	Acquired		Common Stock (3150.315)	Direct
2018-02-15	Restricted Stock Unit	$	M	2085	Disposed		Common Stock (2085)	Direct
2018-02-15	Restricted Stock Unit	$	M	1723	Disposed		Common Stock (1723)	Direct
2018-02-15	Restricted Stock Unit	$	M	142	Disposed		Common Stock (142)	Direct
2018-02-15	Restricted Stock Unit	$	M	2013	Disposed		Common Stock (2013)	Direct
2018-02-15	Restricted Stock Unit	$	M	2034	Disposed		Common Stock (2034)	Direct
2018-02-15	Restricted Stock Unit	$	M	4058	Disposed		Common Stock (4058)	Direct
2018-02-15	Restricted Stock Unit	$	M	1098	Disposed		Common Stock (1098)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	7995.437	Indirect

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, 2019, 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, 2019, 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, 2018, 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, 2018, 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.

F9: These RSUs vest in three annual installments as follows: 20% of the RSUs vests on February 15, 2017, 30% of the RSUs vests on February 15, 2018 and the remaining 50% of the RSUs vests 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.