MKS INC — Director's Dealing 2020

Feb 19, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2020-02-18

Reporting Person: Lee John Tseng-Chung (Director, President & CEO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-18	Common Stock	M	2979.485	—	Acquired	15031.082	Direct
2020-02-18	Common Stock	M	2462.524	—	Acquired	17493.606	Direct
2020-02-18	Common Stock	M	1989	—	Acquired	19482.606	Direct
2020-02-18	Common Stock	M	1950	—	Acquired	21432.606	Direct
2020-02-18	Common Stock	M	262	—	Acquired	21694.606	Direct
2020-02-18	Common Stock	M	257	—	Acquired	21951.606	Direct
2020-02-18	Common Stock	M	3065.722	—	Acquired	25017.328	Direct
2020-02-18	Common Stock	M	2754.821	—	Acquired	27772.149	Direct
2020-02-18	Common Stock	F	6301	$113.87	Disposed	21471.149	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-02-18	Restricted Stock Unit	$	A	12843.594	Acquired		Common Stock (12843.594)	Direct
2020-02-18	Restricted Stock Unit	$	M	2979.485	Disposed		Common Stock (2979.485)	Direct
2020-02-18	Restricted Stock Unit	$	M	2462.524	Disposed		Common Stock (2462.524)	Direct
2020-02-18	Restricted Stock Unit	$	M	1989	Disposed		Common Stock (1989)	Direct
2020-02-18	Restricted Stock Unit	$	M	1950	Disposed		Common Stock (1950)	Direct
2020-02-18	Restricted Stock Unit	$	M	262	Disposed		Common Stock (262)	Direct
2020-02-18	Restricted Stock Unit	$	M	257	Disposed		Common Stock (257)	Direct
2020-02-18	Restricted Stock Unit	$	M	3065.722	Disposed		Common Stock (3065.722)	Direct
2020-02-18	Restricted Stock Unit	$	M	2754.821	Disposed		Common Stock (2754.821)	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, 2021, 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, 2018, 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, 2018, 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, 2019, 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, 2019, 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, 2020, 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, 2020, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.