MKS INC — Director's Dealing 2019

Feb 19, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2019-02-15

Reporting Person: Lee John Tseng-Chung (President & COO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-02-15	Common Stock	M	5218.221	—	Acquired	5461.618	Direct
2019-02-15	Common Stock	M	4013.939	—	Acquired	9475.557	Direct
2019-02-15	Common Stock	M	2979	—	Acquired	12454.557	Direct
2019-02-15	Common Stock	M	2462	—	Acquired	14916.557	Direct
2019-02-15	Common Stock	M	1989	—	Acquired	16905.557	Direct
2019-02-15	Common Stock	M	1950	—	Acquired	18855.557	Direct
2019-02-15	Common Stock	M	262	—	Acquired	19117.557	Direct
2019-02-15	Common Stock	M	257	—	Acquired	19374.557	Direct
2019-02-15	Common Stock	F	7650	$84.70	Disposed	11724.557	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-02-15	Restricted Stock Unit	$	A	8264.463	Acquired		Common Stock (8264.463)	Direct
2019-02-15	Restricted Stock Unit	$	M	5218.221	Disposed		Common Stock (5218.221)	Direct
2019-02-15	Restricted Stock Unit	$	M	4013.939	Disposed		Common Stock (4013.939)	Direct
2019-02-15	Restricted Stock Unit	$	M	2979	Disposed		Common Stock (2979)	Direct
2019-02-15	Restricted Stock Unit	$	M	2462	Disposed		Common Stock (2462)	Direct
2019-02-15	Restricted Stock Unit	$	M	1989	Disposed		Common Stock (1989)	Direct
2019-02-15	Restricted Stock Unit	$	M	1950	Disposed		Common Stock (1950)	Direct
2019-02-15	Restricted Stock Unit	$	M	262	Disposed		Common Stock (262)	Direct
2019-02-15	Restricted Stock Unit	$	M	257	Disposed		Common Stock (257)	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 vest in three equal annual installments commencing on February 15, 2020, 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 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.

F5: 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.

F6: 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.

F7: 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.

F8: 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.

F9: 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.