0001127602-21-006359.txt : 20210217 0001127602-21-006359.hdr.sgml : 20210217 20210217190108 ACCESSION NUMBER: 0001127602-21-006359 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210216 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210217 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schreiner James Alan CENTRAL INDEX KEY: 0001797189 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 21646887 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 2021-02-16 0001049502 MKS INSTRUMENTS INC MKSI 0001797189 Schreiner James Alan C/O MKS INSTRUMENTS, INC. 2 TECH DRIVE, SUITE 201 ANDOVER MA 01810 1 Sr. VP & COO Common Stock 2021-02-16 4 M 0 1001 A 2013 D Common Stock 2021-02-16 4 M 0 695 A 2708 D Common Stock 2021-02-16 4 F 0 498 172.20 D 2210 D Restricted Stock Unit 2021-02-16 4 A 0 1959.93 A Common Stock 1959.93 9917.142 D Restricted Stock Unit 2021-02-16 4 M 0 1001 D Common Stock 1001 8916.142 D Restricted Stock Unit 2021-02-16 4 M 0 695 D Common Stock 695 8221.142 D Each restricted stock unit (RSU) 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, 2022, 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 were subject to performance criteria, the achievement of which was determined on January 25, 2021, and thereafter vest in three equal annual installments beginning 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 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. /s/ M. Kathryn Rickards, attorney-in-fact 2021-02-17