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: Henry David Philip (EVP, Operations & Corp Mktg)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-02-15	Common Stock	M	1171.778	—	Acquired	5685.254	Direct
2023-02-15	Common Stock	M	1161	—	Acquired	6846.254	Direct
2023-02-15	Common Stock	M	581	—	Acquired	7427.254	Direct
2023-02-15	Common Stock	M	1527	—	Acquired	8954.254	Direct
2023-02-15	Common Stock	M	1098	—	Acquired	10052.254	Direct
2023-02-15	Common Stock	F	1629	$100.29	Disposed	8423.254	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-02-15	Restricted Stock Unit	$	A	3739.156	Acquired		Common Stock (3739.156)	Direct
2023-02-15	Restricted Stock Unit	$	M	1171.778	Disposed		Common Stock (1171.778)	Direct
2023-02-15	Restricted Stock Unit	$	M	1161	Disposed		Common Stock (1161)	Direct
2023-02-15	Restricted Stock Unit	$	M	581	Disposed		Common Stock (581)	Direct
2023-02-15	Restricted Stock Unit	$	M	1527	Disposed		Common Stock (1527)	Direct
2023-02-15	Restricted Stock Unit	$	M	1098	Disposed		Common Stock (1098)	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 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.

F5: 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.

F6: 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.

F7: 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.

F8: 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.