0001127602-18-006783.txt : 20180216 0001127602-18-006783.hdr.sgml : 20180216 20180216180529 ACCESSION NUMBER: 0001127602-18-006783 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: Werth Dennis L CENTRAL INDEX KEY: 0001550572 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 18622471 MAIL ADDRESS: STREET 1: 1791 DEERE AVENUE CITY: IRVINE STATE: CA ZIP: 92606 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 0001550572 Werth Dennis L 2 TECH DRIVE SUITE 201 ANDOVER MA 01810 1 Sr. VP, Business Units Common Stock 2018-02-15 4 M 0 2085 A 2085 D Common Stock 2018-02-15 4 M 0 1723 A 3808 D Common Stock 2018-02-15 4 M 0 142 A 3950 D Common Stock 2018-02-15 4 M 0 2013 A 5963 D Common Stock 2018-02-15 4 M 0 2034 A 7997 D Common Stock 2018-02-15 4 M 0 4058 A 12055 D Common Stock 2018-02-15 4 M 0 1098 A 13153 D Common Stock 2018-02-15 4 F 0 5204 111.10 D 7949 D Common Stock 7995.437 I By The Werth Family Trust Restricted Stock Unit 2018-02-15 4 A 0 4725.473 A Common Stock 4725.473 10909.543 D Restricted Stock Unit 2018-02-15 4 A 0 3150.315 A Common Stock 3150.315 19967.59 D Restricted Stock Unit 2018-02-15 4 M 0 2085 D Common Stock 2085 8197.07 D Restricted Stock Unit 2018-02-15 4 M 0 1723 D Common Stock 1723 24149.275 D Restricted Stock Unit 2018-02-15 4 M 0 142 D Common Stock 142 24007.275 D Restricted Stock Unit 2018-02-15 4 M 0 2013 D Common Stock 2013 6184.07 D Restricted Stock Unit 2018-02-15 4 M 0 2034 D Common Stock 2034 21973.275 D Restricted Stock Unit 2018-02-15 4 M 0 4058 D Common Stock 4058 17915.275 D Restricted Stock Unit 2018-02-15 4 M 0 1098 D Common Stock 1098 16817.275 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, 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. 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 vest in three annual installments as follows: 20% of the RSUs vests on February 15, 2017, 30% of the RSUs vests on February 15, 2018 and the remaining 50% of the RSUs vests 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. /s/ M. Kathryn Rickards, attorney-in-fact 2018-02-16