Mark Milton Gitin - 15 Feb 2023 Form 4 Insider Report for MKS INSTRUMENTS INC (MKSI)

Role
EVP & GM, PSD
Signature
/s/ M. Kathryn Rickards, attorney-in-fact
Issuer symbol
MKSI
Transactions as of
15 Feb 2023
Net transactions value
-$132,684
Form type
4
Filing time
16 Feb 2023, 14:03:24 UTC
Previous filing
09 Feb 2023
Next filing
19 Apr 2023
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 +1,103 +14% 8,998 15 Feb 2023 Direct F1
transaction MKSI Common Stock Options Exercise +552 +6.1% 9,550 15 Feb 2023 Direct F1
transaction MKSI Common Stock Options Exercise +1,260 +13% 10,810 15 Feb 2023 Direct F1
transaction MKSI Common Stock Options Exercise +906 +8.4% 11,716 15 Feb 2023 Direct F1
transaction MKSI Common Stock Tax liability $132,684 -1,323 -11% $100.29 10,393 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 +3,091 +27% 14,700 15 Feb 2023 Common Stock 3,091 Direct F1, F3
transaction MKSI Restricted Stock Unit Options Exercise -1,103 -7.5% 13,597 15 Feb 2023 Common Stock 1,103 Direct F1, F4
transaction MKSI Restricted Stock Unit Options Exercise -552 -4.1% 13,045 15 Feb 2023 Common Stock 552 Direct F1, F5
transaction MKSI Restricted Stock Unit Options Exercise -1,260 -9.7% 11,785 15 Feb 2023 Common Stock 1,260 Direct F1, F6
transaction MKSI Restricted Stock Unit Options Exercise -906 -7.7% 10,879 15 Feb 2023 Common Stock 906 Direct F1, F7
* 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 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.