Seth H. Bagshaw - 15 Feb 2023 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Role: EVP, CFO & Treasurer
Signature: /s/ M. Kathryn Rickards, attorney-in-fact
Issuer symbol: MKSI
Transactions as of: 15 Feb 2023
Net transactions value: -$699,623
Form type: 4
Filing time: 16 Feb 2023, 13:55:42 UTC
Previous filing: 09 Feb 2023
Next filing: 07 Sep 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		+3,837	+11%		38,205	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+2,180	+5.7%		40,384	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+3,729	+9.2%		44,114	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+1,525	+3.5%		45,638	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+4,303	+9.4%		49,942	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+2,431	+4.9%		52,372	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Tax liability	$699,623	-6,976	-13%	$100.29	45,396	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		+8,637	+24%		45,366	15 Feb 2023	Common Stock	8,637		Direct	F1, F3
transaction	MKSI	Restricted Stock Unit	Options Exercise		-3,837	-8.5%		41,529	15 Feb 2023	Common Stock	3,837		Direct	F1, F4
transaction	MKSI	Restricted Stock Unit	Options Exercise		-2,180	-5.2%		39,349	15 Feb 2023	Common Stock	2,180		Direct	F1, F5
transaction	MKSI	Restricted Stock Unit	Options Exercise		-3,729	-9.5%		35,620	15 Feb 2023	Common Stock	3,729		Direct	F1, F6
transaction	MKSI	Restricted Stock Unit	Options Exercise		-1,525	-4.3%		34,095	15 Feb 2023	Common Stock	1,525		Direct	F1, F7
transaction	MKSI	Restricted Stock Unit	Options Exercise		-4,303	-13%		29,792	15 Feb 2023	Common Stock	4,303		Direct	F1, F8
transaction	MKSI	Restricted Stock Unit	Options Exercise		-2,431	-8.2%		27,361	15 Feb 2023	Common Stock	2,431		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.