Carlyle Group Inc. - 08 May 2023 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Reporting relationship: 10%+ Owner
Issuer ticker: MKSI
Reported as of: 08 May 2023
Net transaction value: -$172,250,000
SEC form: 4
Accepted by SEC: 10 May 2023, 16:37:26 UTC
Prior SEC filing: 04 Apr 2023
Next SEC filing: 05 Jul 2023
Source filing: View source filing
Reporting owner signature: The Carlyle Group Inc., By: /s/ Anne Frederick, Attorney-in-fact for Curtis L. Buser, Chief Financial Officer

Key filing fact

Carlyle Group Inc. filed Form 4 for MKS INSTRUMENTS INC (MKSI) on 10 May 2023.

Key facts

This page summarizes Carlyle Group Inc.'s Form 4 filing for MKS INSTRUMENTS INC (MKSI).
1 reported transaction and 0 derivative rows are listed below.
Accepted by SEC: 10 May 2023, 16:37.

Change

Previous filing in this sequence was filed on 04 Apr 2023.
Current net transaction value: -$172,250,000.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

MKSI transaction

Common Stock

Sale

Transaction value: $172,250,000
Shares: -2,000,000
Change %: -24%
Price: $86.12
Shares after: 6,482,732
Date: 08 May 2023
Ownership: See footnotes
Footnotes: F1, F2, F3, F4

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Carlyle Group Inc. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 4 footnotes

Footnote F1

Following the transactions reported herein, includes (i) 3,958,719 shares held by Carlyle Partners VI Cayman Holdings, L.P., (ii) 1,726,956 shares held by CEP IV Participations, S.a r.l. SICAR and (iii) 797,057 shares held by Gamma Holding Company Limited.

Footnote F2

The Carlyle Group Inc., which is a publicly traded entity listed on Nasdaq, is the sole member of Carlyle Holdings II GP L.L.C., which is the managing member of Carlyle Holdings II L.L.C., which, with respect to the securities reported herein, is the managing member of CG Subsidiary Holdings L.L.C., which is the general partner of TC Group Cayman Investment Holdings, L.P., which is the general partner of TC Group Cayman Investment Holdings Sub L.P., which is the sole shareholder of TC Group VI Cayman, L.L.C., which is the general partner of TC Group VI Cayman, L.P., which is the general partner of Carlyle Partners VI Cayman Holdings, L.P.

Footnote F3

TC Group Cayman Investment Holdings Sub L.P. is also the sole shareholder of CEP IV Managing GP Holdings, Ltd. and the sole member of CAP IV, L.L.C. CEP IV Managing GP Holdings, Ltd. is the general partner of CEP IV Managing GP, L.P., which is the managing general partner of Carlyle Europe Partners IV, L.P., which is the majority shareholder of CEP IV Participations, S.a r.l. SICAR. CAP IV, L.L.C. is the general partner of CAP IV General Partner, L.P., which is the general partner of Carlyle Asia Partners IV, L.P., which is the majority shareholder of Gamma Holding Company Limited.

Footnote F4

Accordingly, each of these entities may be deemed to share beneficial ownership of the securities held of record by Carlyle Partners VI Cayman Holdings, L.P., CEP IV Participations, S.a r.l. SICAR and Gamma Holding Company Limited. Each of them disclaims beneficial ownership of such securities.

SEC remarks

Due to the limitations of the electronic filing system, each of Carlyle Partners VI Cayman Holdings, L.P., CEP IV Managing GP Holdings, Ltd., CEP IV Managing GP, L.P., Carlyle Europe Partners IV, L.P., CEP IV Participations, S.a r.l. SICAR, CAP IV, L.L.C., CAP IV General Partner, L.P., Carlyle Asia Partners IV, L.P. and Gamma Holding Company Limited are filing a separate Form 4.