MKS INC — Director's Dealing 2023

Feb 16, 2023

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: MKS INSTRUMENTS INC (MKSI)
CIK: 0001049502
Period of Report: 2023-02-15

Reporting Person: Schreiner James Alan (EVP & COO, MSD)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-02-15	Common Stock	M	1001.425	—	Acquired	7734.558	Direct
2023-02-15	Common Stock	M	695.712	—	Acquired	8430.27	Direct
2023-02-15	Common Stock	M	1307	—	Acquired	9737.27	Direct
2023-02-15	Common Stock	M	653	—	Acquired	10390.27	Direct
2023-02-15	Common Stock	M	1629	—	Acquired	12019.27	Direct
2023-02-15	Common Stock	M	1171	—	Acquired	13190.27	Direct
2023-02-15	Common Stock	F	1899	$100.29	Disposed	11291.27	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-02-15	Restricted Stock Unit	$	A	3988.434	Acquired		Common Stock (3988.434)	Direct
2023-02-15	Restricted Stock Unit	$	M	1001.425	Disposed		Common Stock (1001.425)	Direct
2023-02-15	Restricted Stock Unit	$	M	695.712	Disposed		Common Stock (695.712)	Direct
2023-02-15	Restricted Stock Unit	$	M	1307	Disposed		Common Stock (1307)	Direct
2023-02-15	Restricted Stock Unit	$	M	653	Disposed		Common Stock (653)	Direct
2023-02-15	Restricted Stock Unit	$	M	1629	Disposed		Common Stock (1629)	Direct
2023-02-15	Restricted Stock Unit	$	M	1171	Disposed		Common Stock (1171)	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, 2024, 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 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.

F5: 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.

F6: 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.

F7: 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.

F8: These RSUs were subject to performance criteria, the achievement of which was determined on February 8, 2023, and thereafter vest in three equal annual installments beginning on February 15, 2023, 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, 2023, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day.