0001127602-18-006760.txt : 20180216 0001127602-18-006760.hdr.sgml : 20180216 20180216174918 ACCESSION NUMBER: 0001127602-18-006760 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180215 FILED AS OF DATE: 20180216 DATE AS OF CHANGE: 20180216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COLELLA GERARD G CENTRAL INDEX KEY: 0001256715 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 18622378 MAIL ADDRESS: STREET 1: 6 SHATTUCK RD CITY: ANDOVER STATE: MA ZIP: 01810 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MKS INSTRUMENTS INC CENTRAL INDEX KEY: 0001049502 STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL INSTRUMENTS FOR MEASUREMENT, DISPLAY, AND CONTROL [3823] IRS NUMBER: 042277512 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2 TECH DRIVE STREET 2: SUITE 201 CITY: ANDOVER STATE: MA ZIP: 01810 BUSINESS PHONE: 978-645-5500 MAIL ADDRESS: STREET 1: 2 TECH DRIVE STREET 2: SUITE 201 CITY: ANDOVER STATE: MA ZIP: 01810 4 1 form4.xml PRIMARY DOCUMENT X0306 4 2018-02-15 0001049502 MKS INSTRUMENTS INC MKSI 0001256715 COLELLA GERARD G 2 TECH DRIVE ANDOVER MA 01810 1 1 CEO, President, Director Common Stock 2018-02-15 4 M 0 12213.298 A 17237.948 D Common Stock 2018-02-15 4 M 0 9456.794 A 26694.742 D Common Stock 2018-02-15 4 M 0 15653 A 42347.742 D Common Stock 2018-02-15 4 M 0 11038 A 53385.742 D Common Stock 2018-02-15 4 M 0 8936 A 62321.742 D Common Stock 2018-02-15 4 M 0 7385 A 69706.742 D Common Stock 2018-02-15 4 F 0 27413 111.10 D 42293.742 D Common Stock 46296 I By Gerald G. Colella Living Trust Restricted Stock Unit 2018-02-15 4 A 0 30378.038 A Common Stock 30378.038 63905.155 D Restricted Stock Unit 2018-02-15 4 A 0 15751.575 A Common Stock 15751.575 41560.731 D Restricted Stock Unit 2018-02-15 4 M 0 12213.298 D Common Stock 12213.298 58116.117 D Restricted Stock Unit 2018-02-15 4 M 0 9456.794 D Common Stock 9456.794 44232.156 D Restricted Stock Unit 2018-02-15 4 M 0 15653 D Common Stock 15653 42463.117 D Restricted Stock Unit 2018-02-15 4 M 0 11038 D Common Stock 11038 33194.156 D Restricted Stock Unit 2018-02-15 4 M 0 8936 D Common Stock 8936 33527.117 D Restricted Stock Unit 2018-02-15 4 M 0 7385 D Common Stock 7385 25809.156 D Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc. This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. These RSUs are subject to the achievement of performance criteria determined in the first year of grant and thereafter vest in three equal annual installments beginning on February 15, 2019, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day. These RSUs vest in three equal annual installments commencing on February 15, 2019, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day. These RSUs are subject to the achievement of performance criteria determined in the first year of grant and thereafter vest in three equal annual installments beginning on February 15, 2016, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day. These RSUs vest in three equal annual installments commencing on February 15, 2016, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day. These RSUs are subject to the achievement of performance criteria determined in the first year of grant and thereafter vest in three equal annual installments beginning on February 15, 2017, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day. These RSUs vest in three equal annual installments commencing on February 15, 2017, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day. These RSUs are subject to the achievement of performance criteria determined in the first year of grant and thereafter vest in three equal annual installments beginning on February 15, 2018, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day. These RSUs vest in three equal annual installments commencing on February 15, 2018, provided that if, in any vesting year, February 15th is not a business day, such vesting shall occur on the next business day. /s/ M. Kathryn Rickards, attorney-in-fact 2018-02-16