Seth H. Bagshaw - 15 Feb 2022 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Role
Sr. VP, CFO & Treasurer
Signature
/s/ M. Kathryn Rickards, attorney-in-fact
Issuer symbol
MKSI
Transactions as of
15 Feb 2022
Net transactions value
-$1,104,157
Form type
4
Filing time
16 Feb 2022, 15:36:00 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 +2,941 +13% 24,933 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +2,643 +11% 27,576 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +3,837 +14% 31,413 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +2,180 +6.9% 33,593 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +3,885 +12% 37,478 15 Feb 2022 Direct F1
transaction MKSI Common Stock Options Exercise +1,525 +4.1% 39,003 15 Feb 2022 Direct F1
transaction MKSI Common Stock Tax liability $1,104,157 -7,238 -19% $152.55 31,765 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 -2,941 -7.7% 35,268 15 Feb 2022 Common Stock 2,941 Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -2,643 -7.5% 32,625 15 Feb 2022 Common Stock 2,643 Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -3,837 -12% 28,788 15 Feb 2022 Common Stock 3,837 Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -2,180 -7.6% 26,608 15 Feb 2022 Common Stock 2,180 Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -3,885 -15% 22,723 15 Feb 2022 Common Stock 3,885 Direct F1, F7
transaction MKSI Restricted Stock Unit Options Exercise -1,525 -6.7% 21,198 15 Feb 2022 Common Stock 1,525 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.