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: Lee John Tseng-Chung (Sr. VP & COO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-02-15	Common Stock	M	3780.425	—	Acquired	3932.988	Direct
2018-02-15	Common Stock	M	3073.858	—	Acquired	7006.846	Direct
2018-02-15	Common Stock	M	5218	—	Acquired	12224.846	Direct
2018-02-15	Common Stock	M	4014	—	Acquired	16238.846	Direct
2018-02-15	Common Stock	M	2978	—	Acquired	19216.846	Direct
2018-02-15	Common Stock	M	2461	—	Acquired	21677.846	Direct
2018-02-15	Common Stock	F	8245	$111.10	Disposed	13432.846	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-02-15	Restricted Stock Unit	$	A	8775.878	Acquired		Common Stock (8775.878)	Direct
2018-02-15	Restricted Stock Unit	$	A	5850.585	Acquired		Common Stock (5850.585)	Direct
2018-02-15	Restricted Stock Unit	$	M	3780.425	Disposed		Common Stock (3780.425)	Direct
2018-02-15	Restricted Stock Unit	$	M	3073.858	Disposed		Common Stock (3073.858)	Direct
2018-02-15	Restricted Stock Unit	$	M	5218	Disposed		Common Stock (5218)	Direct
2018-02-15	Restricted Stock Unit	$	M	4014	Disposed		Common Stock (4014)	Direct
2018-02-15	Restricted Stock Unit	$	M	2978	Disposed		Common Stock (2978)	Direct
2018-02-15	Restricted Stock Unit	$	M	2461	Disposed		Common Stock (2461)	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, 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, 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.

F9: 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.

F10: 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.