David Philip Henry - 15 Feb 2023 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Role
EVP, Operations & Corp Mktg
Signature
/s/ M. Kathryn Rickards, attorney-in-fact
Issuer symbol
MKSI
Transactions as of
15 Feb 2023
Net transactions value
-$163,372
Form type
4
Filing time
16 Feb 2023, 14:06:48 UTC
Previous filing
09 Feb 2023
Next filing
08 Nov 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 +1,172 +26% 5,685 15 Feb 2023 Direct F1
transaction MKSI Common Stock Options Exercise +1,161 +20% 6,846 15 Feb 2023 Direct F1
transaction MKSI Common Stock Options Exercise +581 +8.5% 7,427 15 Feb 2023 Direct F1
transaction MKSI Common Stock Options Exercise +1,527 +21% 8,954 15 Feb 2023 Direct F1
transaction MKSI Common Stock Options Exercise +1,098 +12% 10,052 15 Feb 2023 Direct F1
transaction MKSI Common Stock Tax liability $163,372 -1,629 -16% $100.29 8,423 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 +3,739 +30% 16,277 15 Feb 2023 Common Stock 3,739 Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -1,172 -7.2% 15,105 15 Feb 2023 Common Stock 1,172 Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -1,161 -7.7% 13,944 15 Feb 2023 Common Stock 1,161 Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -581 -4.2% 13,363 15 Feb 2023 Common Stock 581 Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -1,527 -11% 11,836 15 Feb 2023 Common Stock 1,527 Direct F1, F7
transaction MKSI Restricted Stock Unit Options Exercise -1,098 -9.3% 10,738 15 Feb 2023 Common Stock 1,098 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 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 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.
F5 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.
F6 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.
F7 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.
F8 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.