MKS INC — Director's Dealing 2020

Jul 6, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2020-07-02

Reporting Person: COLELLA GERARD G (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-07-02	Common Stock	M	8574.454	—	Acquired	10565.04	Direct
2020-07-02	Common Stock	M	7085.573	—	Acquired	17650.613	Direct
2020-07-02	Common Stock	M	6607	—	Acquired	24257.613	Direct
2020-07-02	Common Stock	M	6606.066	—	Acquired	30863.679	Direct
2020-07-02	Common Stock	M	5038	—	Acquired	35901.679	Direct
2020-07-02	Common Stock	M	5037.575	—	Acquired	40939.254	Direct
2020-07-02	Common Stock	M	7260.921	—	Acquired	48200.175	Direct
2020-07-02	Common Stock	M	7260.921	—	Acquired	55461.096	Direct
2020-07-02	Common Stock	M	7551.917	—	Acquired	63013.013	Direct
2020-07-02	Common Stock	M	7551.917	—	Acquired	70564.93	Direct
2020-07-02	Common Stock	M	7550.917	—	Acquired	78115.847	Direct
2020-07-02	Common Stock	F	32316	$113.79	Disposed	45799.847	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-07-02	Restricted Stock Unit	$	M	8574.454	Disposed		Common Stock (8574.454)	Direct
2020-07-02	Restricted Stock Unit	$	M	7085.573	Disposed		Common Stock (7085.573)	Direct
2020-07-02	Restricted Stock Unit	$	M	6607	Disposed		Common Stock (6607)	Direct
2020-07-02	Restricted Stock Unit	$	M	6606.066	Disposed		Common Stock (6606.066)	Direct
2020-07-02	Restricted Stock Unit	$	M	5038	Disposed		Common Stock (5038)	Direct
2020-07-02	Restricted Stock Unit	$	M	5037.575	Disposed		Common Stock (5037.575)	Direct
2020-07-02	Restricted Stock Unit	$	M	7260.921	Disposed		Common Stock (7260.921)	Direct
2020-07-02	Restricted Stock Unit	$	M	7260.921	Disposed		Common Stock (7260.921)	Direct
2020-07-02	Restricted Stock Unit	$	M	7551.917	Disposed		Common Stock (7551.917)	Direct
2020-07-02	Restricted Stock Unit	$	M	7551.917	Disposed		Common Stock (7551.917)	Direct
2020-07-02	Restricted Stock Unit	$	M	7550.917	Disposed		Common Stock (7550.917)	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	40800	Indirect
Common Stock	44786	Indirect

Footnotes

F1: Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc.

F2: Shares used to satisfy taxes. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person.

F3: These RSUs were awarded on February 15, 2017 and were subject to the achievement of performance criteria determined in the first year of grant. These RSUs were scheduled to vest on February 18, 2020.

F4: On January 1, 2020, Mr. Colella retired from the Company and pursuant to the terms of his RSU Agreement, these RSUs fully vested on that date but were not distributable until July 2, 2020 in accordance with Internal Revenue Code Section 409A.

F5: These RSUs were awarded on February 15, 2017. These RSUs were scheduled to vest on February 18, 2020.

F6: These RSUs were awarded on February 15, 2018 and were subject to the achievement of performance criteria determined in the first year of grant. These RSUs were scheduled to vest on February 18, 2020.

F7: These RSUs were awarded on February 15, 2018 and were subject to the achievement of performance criteria determined in the first year of grant. These RSUs were scheduled to vest on February 16, 2021.

F8: These RSUs were awarded on February 15, 2018. These RSUs were scheduled to vest on February 18, 2020.

F9: These RSUs were awarded on February 15, 2018. These RSUs were scheduled to vest on February 16, 2021.

F10: These RSUs were awarded on February 15, 2019 and were subject to the achievement of performance criteria determined in the first year of grant. These RSUs were scheduled to vest on February 16, 2021.

F11: These RSUs were awarded on February 15, 2019 and were subject to the achievement of performance criteria determined in the first year of grant. These RSUs were scheduled to vest on February 15, 2022.

F12: These RSUs were awarded on February 15, 2019. These RSUs were scheduled to vest on February 18, 2020.

F13: These RSUs were awarded on February 15, 2019. These RSUs were scheduled to vest on February 16, 2021.

F14: These RSUs were awarded on February 15, 2019. These RSUs were scheduled to vest on February 15, 2022.