0001127602-18-016364.txt : 20180504 0001127602-18-016364.hdr.sgml : 20180504 20180504144348 ACCESSION NUMBER: 0001127602-18-016364 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180502 FILED AS OF DATE: 20180504 DATE AS OF CHANGE: 20180504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BERTUCCI JOHN R CENTRAL INDEX KEY: 0001106180 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 18807417 MAIL ADDRESS: STREET 1: C/O MKS INSTRUMENTS INC STREET 2: SIX 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 2018-05-02 0001049502 MKS INSTRUMENTS INC MKSI 0001106180 BERTUCCI JOHN R 2 TECH DRIVE ANDOVER MA 01810 1 Common Stock 2018-05-02 5 G 0 E 60996 0 D 0 I By John R. Bertucci 2016 Qualified Annuity Trust Common Stock 2018-05-02 5 G 0 E 68336 0 D 0 I By Claire R. Bertucci 2016 Qualified Annuity Trust Common Stock 197248.102 D Common Stock 51000 I By Claire R. Bertucci 2016 Second Qualified Annuity Trust Common Stock 27782 I By John R. Bertucci 2016 Second Qualified Annuity Trust Common Stock 186505 I By Spouse The reporting person's 2016 Grantor Retained Annuity Trust terminated. On May 2, 2018, 60,996 shares in this trust were transferred to the reporting person's beneficiaries and the remaining 25,976 shares were distributed to the reporting person and are reported in this Form 4 as directly owned by the reporting person. The reporting person's spouse's 2016 Grantor Retained Annuity Trust terminated. On May 2, 2018, 68,336 shares in this trust were transferred to the reporting person's spouse's beneficiaries and the remaining 19,355 shares were distributed to the reporting person's spouse and continue to be reported in this Form 4 as indirectly owned by the reporting person's spouse. /s/ M. Kathryn Rickards, attorney-in-fact 2018-05-04