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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2023-02-15	Common Stock	M	7535.724	—	Acquired	59229.845	Direct
2023-02-15	Common Stock	M	4281.594	—	Acquired	63511.439	Direct
2023-02-15	Common Stock	M	9624	—	Acquired	73135.439	Direct
2023-02-15	Common Stock	M	3937	—	Acquired	77072.439	Direct
2023-02-15	Common Stock	M	14634	—	Acquired	91706.439	Direct
2023-02-15	Common Stock	M	7018	—	Acquired	98724.439	Direct
2023-02-15	Common Stock	F	20862	$100.29	Disposed	77862.439	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2023-02-15	Restricted Stock Unit	$	A	23930.601	Acquired		Common Stock (23930.601)	Direct
2023-02-15	Restricted Stock Unit	$	M	7535.724	Disposed		Common Stock (7535.724)	Direct
2023-02-15	Restricted Stock Unit	$	M	4281.594	Disposed		Common Stock (4281.594)	Direct
2023-02-15	Restricted Stock Unit	$	M	9624	Disposed		Common Stock (9624)	Direct
2023-02-15	Restricted Stock Unit	$	M	3937	Disposed		Common Stock (3937)	Direct
2023-02-15	Restricted Stock Unit	$	M	14634	Disposed		Common Stock (14634)	Direct
2023-02-15	Restricted Stock Unit	$	M	7018	Disposed		Common Stock (7018)	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.