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

Role
EVP, Operations & Corp Mktg
Signature
/s/ M. Kathryn Rickards, attorney-in-fact
Stock symbol
MKSI
Transactions as of
Feb 15, 2023
Transactions value $
-$163,372
Form type
4
Date filed
2/16/2023, 02:06 PM
Previous filing
Feb 9, 2023
Next filing
Nov 8, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MKSI Common Stock Options Exercise +1.17K +25.96% 5.69K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +1.16K +20.42% 6.85K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +581 +8.49% 7.43K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +1.53K +20.56% 8.95K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Options Exercise +1.1K +12.26% 10.1K Feb 15, 2023 Direct F1
transaction MKSI Common Stock Tax liability -$163K -1.63K -16.21% $100.29 8.42K 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 +3.74K +29.82% 16.3K Feb 15, 2023 Common Stock 3.74K Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -1.17K -7.2% 15.1K Feb 15, 2023 Common Stock 1.17K Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -1.16K -7.69% 13.9K Feb 15, 2023 Common Stock 1.16K Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -581 -4.17% 13.4K Feb 15, 2023 Common Stock 581 Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -1.53K -11.43% 11.8K Feb 15, 2023 Common Stock 1.53K Direct F1, F7
transaction MKSI Restricted Stock Unit Options Exercise -1.1K -9.28% 10.7K Feb 15, 2023 Common Stock 1.1K 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.