James Alan Schreiner - 15 Feb 2023 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Role: EVP & COO, MSD
Signature: /s/ M. Kathryn Rickards, attorney-in-fact
Issuer symbol: MKSI
Transactions as of: 15 Feb 2023
Net transactions value: -$190,451
Form type: 4
Filing time: 16 Feb 2023, 14:10:08 UTC
Previous filing: 09 Feb 2023
Next filing: 06 Feb 2024
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		+1,001	+15%		7,735	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+696	+9%		8,430	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+1,307	+16%		9,737	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+653	+6.7%		10,390	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+1,629	+16%		12,019	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Options Exercise		+1,171	+9.7%		13,190	15 Feb 2023	Direct	F1
transaction	MKSI	Common Stock	Tax liability	$190,451	-1,899	-14%	$100.29	11,291	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		+3,988	+28%		18,011	15 Feb 2023	Common Stock	3,988		Direct	F1, F3
transaction	MKSI	Restricted Stock Unit	Options Exercise		-1,001	-5.6%		17,010	15 Feb 2023	Common Stock	1,001		Direct	F1, F4
transaction	MKSI	Restricted Stock Unit	Options Exercise		-696	-4.1%		16,314	15 Feb 2023	Common Stock	696		Direct	F1, F5
transaction	MKSI	Restricted Stock Unit	Options Exercise		-1,307	-8%		15,007	15 Feb 2023	Common Stock	1,307		Direct	F1, F6
transaction	MKSI	Restricted Stock Unit	Options Exercise		-653	-4.4%		14,354	15 Feb 2023	Common Stock	653		Direct	F1, F7
transaction	MKSI	Restricted Stock Unit	Options Exercise		-1,629	-11%		12,725	15 Feb 2023	Common Stock	1,629		Direct	F1, F8
transaction	MKSI	Restricted Stock Unit	Options Exercise		-1,171	-9.2%		11,554	15 Feb 2023	Common Stock	1,171		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.