John Tseng-Chung Lee - Feb 15, 2023 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Role
President & CEO, Director
Signature
/s/ M. Kathryn Rickards, attorney-in-fact
Stock symbol
MKSI
Transactions as of
Feb 15, 2023
Transactions value $
-$2,092,250
Form type
4
Date filed
2/16/2023, 01:52 PM
Previous filing
Feb 9, 2023
Next filing
Feb 23, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MKSI Common Stock Options Exercise +7.54K +14.58% 59.2K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +4.28K +7.23% 63.5K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +9.62K +15.15% 73.1K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +3.94K +5.38% 77.1K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +14.6K +18.99% 91.7K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +7.02K +7.65% 98.7K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Tax liability -$2.09M -20.9K -21.13% $100.29 77.9K Feb 15, 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 +23.9K +23.03% 128K Feb 15, 2023 Common Stock 23.9K Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -7.54K -5.9% 120K Feb 15, 2023 Common Stock 7.54K Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -4.28K -3.56% 116K Feb 15, 2023 Common Stock 4.28K Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -9.62K -8.3% 106K Feb 15, 2023 Common Stock 9.62K Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -3.94K -3.7% 102K Feb 15, 2023 Common Stock 3.94K Direct F1, F7
transaction MKSI Restricted Stock Unit Options Exercise -14.6K -14.28% 87.8K Feb 15, 2023 Common Stock 14.6K Direct F1, F8
transaction MKSI Restricted Stock Unit Options Exercise -7.02K -7.99% 80.8K Feb 15, 2023 Common Stock 7.02K 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.