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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-02-15	Common Stock	M	6913.518	—	Acquired	30225.035	Direct
2019-02-15	Common Stock	M	4516.057	—	Acquired	34741.092	Direct
2019-02-15	Common Stock	M	3575	—	Acquired	38316.092	Direct
2019-02-15	Common Stock	M	2954	—	Acquired	41270.092	Direct
2019-02-15	Common Stock	M	2295	—	Acquired	43565.092	Direct
2019-02-15	Common Stock	M	1950	—	Acquired	45515.092	Direct
2019-02-15	Common Stock	F	8833	$84.70	Disposed	36682.092	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	6913.518	Disposed		Common Stock (6913.518)	Direct
2019-02-15	Restricted Stock Unit	$	M	4516.057	Disposed		Common Stock (4516.057)	Direct
2019-02-15	Restricted Stock Unit	$	M	3575	Disposed		Common Stock (3575)	Direct
2019-02-15	Restricted Stock Unit	$	M	2954	Disposed		Common Stock (2954)	Direct
2019-02-15	Restricted Stock Unit	$	M	2295	Disposed		Common Stock (2295)	Direct
2019-02-15	Restricted Stock Unit	$	M	1950	Disposed		Common Stock (1950)	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.