David Philip Henry - 15 Feb 2024 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 2024
Net transactions value
-$328,828
Form type
4
Filing time
16 Feb 2024, 15:13:49 UTC
Previous filing
06 Feb 2024
Next filing
11 Feb 2025
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 +1,162 +10% 12,362 15 Feb 2024 Direct F1
transaction MKSI Common Stock Options Exercise +581 +4.7% 12,943 15 Feb 2024 Direct F1
transaction MKSI Common Stock Options Exercise +1,528 +12% 14,471 15 Feb 2024 Direct F1
transaction MKSI Common Stock Options Exercise +1,100 +7.6% 15,571 15 Feb 2024 Direct F1
transaction MKSI Common Stock Options Exercise +2,405 +15% 17,976 15 Feb 2024 Direct F1
transaction MKSI Common Stock Options Exercise +1,246 +6.9% 19,222 15 Feb 2024 Direct F1
transaction MKSI Common Stock Tax liability $328,828 -2,692 -14% $122.15 16,530 15 Feb 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 +3,835 +21% 21,790 15 Feb 2024 Common Stock 3,835 Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -1,162 -5.3% 20,628 15 Feb 2024 Common Stock 1,162 Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -581 -2.8% 20,047 15 Feb 2024 Common Stock 581 Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -1,528 -7.6% 18,519 15 Feb 2024 Common Stock 1,528 Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -1,100 -5.9% 17,419 15 Feb 2024 Common Stock 1,100 Direct F1, F7
transaction MKSI Restricted Stock Unit Options Exercise -2,405 -14% 15,014 15 Feb 2024 Common Stock 2,405 Direct F1, F8
transaction MKSI Restricted Stock Unit Options Exercise -1,246 -8.3% 13,768 15 Feb 2024 Common Stock 1,246 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.