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MKS INC — Director's Dealing 2022
Feb 16, 2022
30723_dirs_2022-02-16_6365789a-a367-4639-bdaf-1b10a676037a.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2022-02-15
Reporting Person: Burke Kathleen Flaherty (Sr. VP, GC & Secretary)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2022-02-15 | Common Stock | M | 1290.831 | — | Acquired | 42089.741 | Direct |
| 2022-02-15 | Common Stock | M | 1574.183 | — | Acquired | 43663.924 | Direct |
| 2022-02-15 | Common Stock | M | 1844 | — | Acquired | 45507.924 | Direct |
| 2022-02-15 | Common Stock | M | 1281 | — | Acquired | 46788.924 | Direct |
| 2022-02-15 | Common Stock | M | 2032 | — | Acquired | 48820.924 | Direct |
| 2022-02-15 | Common Stock | M | 1016 | — | Acquired | 49836.924 | Direct |
| 2022-02-15 | Common Stock | F | 3708 | $152.55 | Disposed | 46128.924 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2022-02-15 | Restricted Stock Unit | $ | M | 1290.831 | Disposed | Common Stock (1290.831) | Direct | |
| 2022-02-15 | Restricted Stock Unit | $ | M | 1574.183 | Disposed | Common Stock (1574.183) | Direct | |
| 2022-02-15 | Restricted Stock Unit | $ | M | 1844 | Disposed | Common Stock (1844) | Direct | |
| 2022-02-15 | Restricted Stock Unit | $ | M | 1281 | Disposed | Common Stock (1281) | Direct | |
| 2022-02-15 | Restricted Stock Unit | $ | M | 2032 | Disposed | Common Stock (2032) | Direct | |
| 2022-02-15 | Restricted Stock Unit | $ | M | 1016 | Disposed | Common Stock (1016) | 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 were subject to performance criteria, the achievement of which was determined on January 27, 2020, 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.
F4: 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.
F5: 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.
F6: 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.
F7: These RSUs were subject to performance criteria, the achievement of which was determined on January 21, 2022, and thereafter vest in three equal annual installments beginning 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.
F8: 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.