MKS INC — Director's Dealing 2021

Feb 17, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2021-02-16

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-16	Common Stock	M	1989.597	—	Acquired	23698.251	Direct
2021-02-16	Common Stock	M	1950.585	—	Acquired	25648.836	Direct
2021-02-16	Common Stock	M	263.037	—	Acquired	25911.873	Direct
2021-02-16	Common Stock	M	257.605	—	Acquired	26169.478	Direct
2021-02-16	Common Stock	M	3065.722	—	Acquired	29235.2	Direct
2021-02-16	Common Stock	M	2754.821	—	Acquired	31990.021	Direct
2021-02-16	Common Stock	M	7534	—	Acquired	39524.021	Direct
2021-02-16	Common Stock	M	4281	—	Acquired	43805.021	Direct
2021-02-16	Common Stock	F	9804	$172.20	Disposed	34001.021	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-16	Restricted Stock Unit	$	A	11811.847	Acquired		Common Stock (11811.847)	Direct
2021-02-16	Restricted Stock Unit	$	M	1989.597	Disposed		Common Stock (1989.597)	Direct
2021-02-16	Restricted Stock Unit	$	M	1950.585	Disposed		Common Stock (1950.585)	Direct
2021-02-16	Restricted Stock Unit	$	M	263.037	Disposed		Common Stock (263.037)	Direct
2021-02-16	Restricted Stock Unit	$	M	257.605	Disposed		Common Stock (257.605)	Direct
2021-02-16	Restricted Stock Unit	$	M	3065.722	Disposed		Common Stock (3065.722)	Direct
2021-02-16	Restricted Stock Unit	$	M	2754.821	Disposed		Common Stock (2754.821)	Direct
2021-02-16	Restricted Stock Unit	$	M	7534	Disposed		Common Stock (7534)	Direct
2021-02-16	Restricted Stock Unit	$	M	4281	Disposed		Common Stock (4281)	Direct

Footnotes

F1: Each restricted stock unit (RSU) 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, 2022, 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 were subject to performance criteria, the achievement of which was determined on January 28, 2019, 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.

F5: 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.

F6: These RSUs were subject to performance criteria, the achievement of which was determined on January 27, 2020, and thereafter vest in three equal 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.

F7: 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.

F8: These RSUs were subject to performance criteria, the achievement of which was determined on January 25, 2021, and thereafter vest in three equal annual installments beginning 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.

F9: 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.