0001127602-20-006529.txt : 20200219 0001127602-20-006529.hdr.sgml : 20200219 20200219174332 ACCESSION NUMBER: 0001127602-20-006529 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: Burke Kathleen Flaherty CENTRAL INDEX KEY: 0001775435 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 20631517 MAIL ADDRESS: STREET 1: MKS INSTRUMENTS, INC., 2 TECH DRIVE STREET 2: SUITE 201 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 2020-02-18 0001049502 MKS INSTRUMENTS INC MKSI 0001775435 Burke Kathleen Flaherty C/O MKS INSTRUMENTS, INC. 2 TECH DRIVE, SUITE 201 ANDOVER MA 01810 1 Sr. VP, GC & Secretary Common Stock 2020-02-18 4 M 0 1564.654 A 30494.656 D Common Stock 2020-02-18 4 M 0 1293.4 A 31788.056 D Common Stock 2020-02-18 4 M 0 1071 A 32859.056 D Common Stock 2020-02-18 4 M 0 1050 A 33909.056 D Common Stock 2020-02-18 4 M 0 1290.83 A 35199.886 D Common Stock 2020-02-18 4 M 0 1574.183 A 36774.069 D Common Stock 2020-02-18 4 F 0 2467 113.87 D 34307.069 D Restricted Stock Unit 2020-02-18 4 A 0 3842.101 A Common Stock 3842.101 23895.891 D Restricted Stock Unit 2020-02-18 4 M 0 1564.654 D Common Stock 1564.654 22331.237 D Restricted Stock Unit 2020-02-18 4 M 0 1293.4 D Common Stock 1293.4 21037.837 D Restricted Stock Unit 2020-02-18 4 M 0 1071 D Common Stock 1071 19966.837 D Restricted Stock Unit 2020-02-18 4 M 0 1050 D Common Stock 1050 18916.837 D Restricted Stock Unit 2020-02-18 4 M 0 1290.83 D Common Stock 1290.83 17626.007 D Restricted Stock Unit 2020-02-18 4 M 0 1574.183 D Common Stock 1574.183 16051.824 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