David Philip Henry - Feb 15, 2024 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, 2024
Transactions value $
-$328,828
Form type
4
Date filed
2/16/2024, 03:13 PM
Previous filing
Feb 6, 2024

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MKSI Common Stock Options Exercise +1.16K +10.38% 12.4K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +581 +4.7% 12.9K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +1.53K +11.81% 14.5K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +1.1K +7.6% 15.6K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +2.41K +15.45% 18K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Options Exercise +1.25K +6.93% 19.2K Feb 15, 2024 Direct F1
transaction MKSI Common Stock Tax liability -$329K -2.69K -14% $122.15 16.5K 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 +3.84K +21.36% 21.8K Feb 15, 2024 Common Stock 3.84K Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -1.16K -5.33% 20.6K Feb 15, 2024 Common Stock 1.16K Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -581 -2.82% 20K Feb 15, 2024 Common Stock 581 Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -1.53K -7.62% 18.5K Feb 15, 2024 Common Stock 1.53K Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -1.1K -5.94% 17.4K Feb 15, 2024 Common Stock 1.1K Direct F1, F7
transaction MKSI Restricted Stock Unit Options Exercise -2.41K -13.81% 15K Feb 15, 2024 Common Stock 2.41K Direct F1, F8
transaction MKSI Restricted Stock Unit Options Exercise -1.25K -8.3% 13.8K Feb 15, 2024 Common Stock 1.25K 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.