John Tseng-Chung Lee - 15 Feb 2023 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 2023
Net transactions value: -$2,092,250
Form type: 4
Filing time: 16 Feb 2023, 13:52:39 UTC
Previous filing: 09 Feb 2023
Next filing: 23 Feb 2023
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		+7,536	+15%		59,230	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+4,282	+7.2%		63,511	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+9,624	+15%		73,135	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+3,937	+5.4%		77,072	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+14,634	+19%		91,706	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+7,018	+7.7%		98,724	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Tax liability	$2,092,250	-20,862	-21%	$100.29	77,862	15 Feb 2023	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	Award		+23,931	+23%		127,830	15 Feb 2023	Common Stock	23,931		Direct	F1, F3
transaction	MKSI	Restricted Stock Unit	Options Exercise		-7,536	-5.9%		120,295	15 Feb 2023	Common Stock	7,536		Direct	F1, F4
transaction	MKSI	Restricted Stock Unit	Options Exercise		-4,282	-3.6%		116,013	15 Feb 2023	Common Stock	4,282		Direct	F1, F5
transaction	MKSI	Restricted Stock Unit	Options Exercise		-9,624	-8.3%		106,389	15 Feb 2023	Common Stock	9,624		Direct	F1, F6
transaction	MKSI	Restricted Stock Unit	Options Exercise		-3,937	-3.7%		102,452	15 Feb 2023	Common Stock	3,937		Direct	F1, F7
transaction	MKSI	Restricted Stock Unit	Options Exercise		-14,634	-14%		87,818	15 Feb 2023	Common Stock	14,634		Direct	F1, F8
transaction	MKSI	Restricted Stock Unit	Options Exercise		-7,018	-8%		80,800	15 Feb 2023	Common Stock	7,018		Direct	F1, F9

* 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 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.