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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-02-16	Common Stock	M	2201.689	—	Acquired	21490.279	Direct
2021-02-16	Common Stock	M	1870.585	—	Acquired	23360.864	Direct
2021-02-16	Common Stock	M	2941.722	—	Acquired	26302.586	Direct
2021-02-16	Common Stock	M	2642.821	—	Acquired	28945.407	Direct
2021-02-16	Common Stock	M	3999	—	Acquired	32944.407	Direct
2021-02-16	Common Stock	M	2180	—	Acquired	35124.407	Direct
2021-02-16	Common Stock	F	6714	$172.20	Disposed	28410.407	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2021-02-16	Restricted Stock Unit	$	A	4769.164	Acquired		Common Stock (4769.164)	Direct
2021-02-16	Restricted Stock Unit	$	M	2201.689	Disposed		Common Stock (2201.689)	Direct
2021-02-16	Restricted Stock Unit	$	M	1870.585	Disposed		Common Stock (1870.585)	Direct
2021-02-16	Restricted Stock Unit	$	M	2941.722	Disposed		Common Stock (2941.722)	Direct
2021-02-16	Restricted Stock Unit	$	M	2642.821	Disposed		Common Stock (2642.821)	Direct
2021-02-16	Restricted Stock Unit	$	M	3999	Disposed		Common Stock (3999)	Direct
2021-02-16	Restricted Stock Unit	$	M	2180	Disposed		Common Stock (2180)	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.