0001127602-20-006520.txt : 20200219 0001127602-20-006520.hdr.sgml : 20200219 20200219173545 ACCESSION NUMBER: 0001127602-20-006520 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200218 FILED AS OF DATE: 20200219 DATE AS OF CHANGE: 20200219 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lee John Tseng-Chung CENTRAL INDEX KEY: 0001414656 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 20631455 MAIL ADDRESS: STREET 1: 90 INDUSTRIAL WAY CITY: WILMINGTON STATE: MA ZIP: 01887 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 2020-02-18 0001049502 MKS INSTRUMENTS INC MKSI 0001414656 Lee John Tseng-Chung C/O MKS INSTRUMENTS, INC. 2 TECH DRIVE, SUITE 201 ANDOVER MA 01810 1 1 President & CEO Common Stock 2020-02-18 4 M 0 2979.485 A 15031.082 D Common Stock 2020-02-18 4 M 0 2462.524 A 17493.606 D Common Stock 2020-02-18 4 M 0 1989 A 19482.606 D Common Stock 2020-02-18 4 M 0 1950 A 21432.606 D Common Stock 2020-02-18 4 M 0 262 A 21694.606 D Common Stock 2020-02-18 4 M 0 257 A 21951.606 D Common Stock 2020-02-18 4 M 0 3065.722 A 25017.328 D Common Stock 2020-02-18 4 M 0 2754.821 A 27772.149 D Common Stock 2020-02-18 4 F 0 6301 113.87 D 21471.149 D Restricted Stock Unit 2020-02-18 4 A 0 12843.594 A Common Stock 12843.594 44665.557 D Restricted Stock Unit 2020-02-18 4 M 0 2979.485 D Common Stock 2979.485 41686.072 D Restricted Stock Unit 2020-02-18 4 M 0 2462.524 D Common Stock 2462.524 39223.548 D Restricted Stock Unit 2020-02-18 4 M 0 1989 D Common Stock 1989 37234.548 D Restricted Stock Unit 2020-02-18 4 M 0 1950 D Common Stock 1950 35284.548 D Restricted Stock Unit 2020-02-18 4 M 0 262 D Common Stock 262 35022.548 D Restricted Stock Unit 2020-02-18 4 M 0 257 D Common Stock 257 34765.548 D Restricted Stock Unit 2020-02-18 4 M 0 3065.722 D Common Stock 3065.722 31699.826 D Restricted Stock Unit 2020-02-18 4 M 0 2754.821 D Common Stock 2754.821 28945.005 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 vest in three equal annual installments commencing on February 15, 2021, 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, 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, 2020, 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, 2020, 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 2020-02-19