John Tseng-Chung Lee - 15 Feb 2022 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Role
President & CEO, Director
Signature
/s/ M. Kathryn Rickards, attorney-in-fact
Issuer symbol
MKSI
Transactions as of
15 Feb 2022
Net transactions value
-$2,111,139
Form type
4
Filing time
16 Feb 2022, 15:33:25 UTC
Previous filing
24 Jan 2022
Next filing
02 May 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MKSI Common Stock Options Exercise +3,066 +9% 37,223 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +2,755 +7.4% 39,978 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +7,535 +19% 47,513 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +4,281 +9% 51,794 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +9,624 +19% 61,418 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +3,937 +6.4% 65,355 15 Feb 2022 Direct F1
transaction MKSI Common Stock Tax liability $2,111,139 -13,839 -21% $152.55 51,516 15 Feb 2022 Direct F2

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction MKSI Restricted Stock Unit Options Exercise -3,066 -4.4% 67,073 15 Feb 2022 Common Stock 3,066 Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -2,755 -4.1% 64,318 15 Feb 2022 Common Stock 2,755 Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -7,535 -12% 56,783 15 Feb 2022 Common Stock 7,535 Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -4,281 -7.5% 52,502 15 Feb 2022 Common Stock 4,281 Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -9,624 -18% 42,878 15 Feb 2022 Common Stock 9,624 Direct F1, F7
transaction MKSI Restricted Stock Unit Options Exercise -3,937 -9.2% 38,941 15 Feb 2022 Common Stock 3,937 Direct F1, F8
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.