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: Burke Kathleen Flaherty (Sr. VP, GC & Secretary)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-02-18	Common Stock	M	1564.654	—	Acquired	30494.656	Direct
2020-02-18	Common Stock	M	1293.4	—	Acquired	31788.056	Direct
2020-02-18	Common Stock	M	1071	—	Acquired	32859.056	Direct
2020-02-18	Common Stock	M	1050	—	Acquired	33909.056	Direct
2020-02-18	Common Stock	M	1290.83	—	Acquired	35199.886	Direct
2020-02-18	Common Stock	M	1574.183	—	Acquired	36774.069	Direct
2020-02-18	Common Stock	F	2467	$113.87	Disposed	34307.069	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2020-02-18	Restricted Stock Unit	$	A	3842.101	Acquired		Common Stock (3842.101)	Direct
2020-02-18	Restricted Stock Unit	$	M	1564.654	Disposed		Common Stock (1564.654)	Direct
2020-02-18	Restricted Stock Unit	$	M	1293.4	Disposed		Common Stock (1293.4)	Direct
2020-02-18	Restricted Stock Unit	$	M	1071	Disposed		Common Stock (1071)	Direct
2020-02-18	Restricted Stock Unit	$	M	1050	Disposed		Common Stock (1050)	Direct
2020-02-18	Restricted Stock Unit	$	M	1290.83	Disposed		Common Stock (1290.83)	Direct
2020-02-18	Restricted Stock Unit	$	M	1574.183	Disposed		Common Stock (1574.183)	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.