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: BAGSHAW SETH H (Sr. VP, CFO & Treasurer)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-02-15	Common Stock	M	5234.128	—	Acquired	17000.448	Direct
2018-02-15	Common Stock	M	3782.518	—	Acquired	20782.966	Direct
2018-02-15	Common Stock	M	6914	—	Acquired	27696.966	Direct
2018-02-15	Common Stock	M	4515	—	Acquired	32211.966	Direct
2018-02-15	Common Stock	M	3574	—	Acquired	35785.966	Direct
2018-02-15	Common Stock	M	2954	—	Acquired	38739.966	Direct
2018-02-15	Common Stock	F	10671	$111.10	Disposed	28068.966	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-02-15	Restricted Stock Unit	$	A	10126.013	Acquired		Common Stock (10126.013)	Direct
2018-02-15	Restricted Stock Unit	$	A	5850.585	Acquired		Common Stock (5850.585)	Direct
2018-02-15	Restricted Stock Unit	$	M	5234.128	Disposed		Common Stock (5234.128)	Direct
2018-02-15	Restricted Stock Unit	$	M	3782.518	Disposed		Common Stock (3782.518)	Direct
2018-02-15	Restricted Stock Unit	$	M	6914	Disposed		Common Stock (6914)	Direct
2018-02-15	Restricted Stock Unit	$	M	4515	Disposed		Common Stock (4515)	Direct
2018-02-15	Restricted Stock Unit	$	M	3574	Disposed		Common Stock (3574)	Direct
2018-02-15	Restricted Stock Unit	$	M	2954	Disposed		Common Stock (2954)	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.