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: COLELLA GERARD G (Director, CEO, President, Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-02-15	Common Stock	M	12213.298	—	Acquired	17237.948	Direct
2018-02-15	Common Stock	M	9456.794	—	Acquired	26694.742	Direct
2018-02-15	Common Stock	M	15653	—	Acquired	42347.742	Direct
2018-02-15	Common Stock	M	11038	—	Acquired	53385.742	Direct
2018-02-15	Common Stock	M	8936	—	Acquired	62321.742	Direct
2018-02-15	Common Stock	M	7385	—	Acquired	69706.742	Direct
2018-02-15	Common Stock	F	27413	$111.10	Disposed	42293.742	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-02-15	Restricted Stock Unit	$	A	30378.038	Acquired		Common Stock (30378.038)	Direct
2018-02-15	Restricted Stock Unit	$	A	15751.575	Acquired		Common Stock (15751.575)	Direct
2018-02-15	Restricted Stock Unit	$	M	12213.298	Disposed		Common Stock (12213.298)	Direct
2018-02-15	Restricted Stock Unit	$	M	9456.794	Disposed		Common Stock (9456.794)	Direct
2018-02-15	Restricted Stock Unit	$	M	15653	Disposed		Common Stock (15653)	Direct
2018-02-15	Restricted Stock Unit	$	M	11038	Disposed		Common Stock (11038)	Direct
2018-02-15	Restricted Stock Unit	$	M	8936	Disposed		Common Stock (8936)	Direct
2018-02-15	Restricted Stock Unit	$	M	7385	Disposed		Common Stock (7385)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	46296	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, 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.