0001127602-18-029966.txt : 20181011 0001127602-18-029966.hdr.sgml : 20181011 20181011141119 ACCESSION NUMBER: 0001127602-18-029966 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181009 FILED AS OF DATE: 20181011 DATE AS OF CHANGE: 20181011 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: 181117988 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 2018-10-09 0001049502 MKS INSTRUMENTS INC MKSI 0001106180 BERTUCCI JOHN R 2 TECH DRIVE ANDOVER MA 01810 1 Common Stock 2018-10-09 5 G 0 E 13732 0 D 0 I By John R. Bertucci 2016 Second Qualified Annuity Trust Common Stock 2018-10-09 5 G 0 E 28250 0 D 0 I By Claire R. Bertucci 2016 Second Qualified Annuity Trust Common Stock 185295.118 D Common Stock 181755 I By Spouse The reporting person's 2016 Second Grantor Retained Annuity Trust terminated. On October 9, 2018, 13,732 shares in this trust were transferred to the reporting person's beneficiaries and the remaining 14,050 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 Second Grantor Retained Annuity Trust terminated. On October 9, 2018, 28,250 shares in this trust were transferred to the reporting person's spouse's beneficiaries and the remaining 22,750 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 2018-10-10