John Tseng-Chung Lee - Feb 15, 2024 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, 2024
Transactions value $
-$3,692,717
Form type
4
Date filed
2/16/2024, 02:58 PM
Previous filing
Feb 6, 2024
Next filing
Feb 22, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MKSI Common Stock Options Exercise +9.24K +11.82% 87.4K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +3.78K +4.32% 91.2K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +14K +15.4% 105K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +6.73K +6.4% 112K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +23.1K +20.63% 135K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +7.65K +5.67% 143K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Tax liability -$3.69M -30.2K -21.19% $122.15 112K Feb 15, 2024 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 +22.6K +15.4% 169K Feb 15, 2024 Common Stock 22.6K Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -9.24K -5.45% 160K Feb 15, 2024 Common Stock 9.24K Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -3.78K -2.36% 156K Feb 15, 2024 Common Stock 3.78K Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -14K -8.98% 142K Feb 15, 2024 Common Stock 14K Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -6.73K -4.73% 136K Feb 15, 2024 Common Stock 6.73K Direct F1, F7
transaction MKSI Restricted Stock Unit Options Exercise -23.1K -17.03% 113K Feb 15, 2024 Common Stock 23.1K Direct F1, F8
transaction MKSI Restricted Stock Unit Options Exercise -7.65K -6.8% 105K Feb 15, 2024 Common Stock 7.65K 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 These shares were withheld by MKS Instruments, Inc. to satisfy the tax withholding obligations triggered by the vesting of RSUs and do not represent a discretionary trade by the reporting person.
F3 These RSUs vest in three equal annual installments commencing on February 15, 2025, 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 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.
F5 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.
F6 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.
F7 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.
F8 These RSUs were subject to performance criteria, the achievement of which was determined on February 5, 2024, and thereafter vest in three equal annual installments beginning 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.
F9 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.