0001127602-23-005502.txt : 20230216 0001127602-23-005502.hdr.sgml : 20230216 20230216145239 ACCESSION NUMBER: 0001127602-23-005502 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230215 FILED AS OF DATE: 20230216 DATE AS OF CHANGE: 20230216 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: 23638147 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 2023-02-15 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 2023-02-15 4 M 0 7535.724 A 59229.845 D Common Stock 2023-02-15 4 M 0 4281.594 A 63511.439 D Common Stock 2023-02-15 4 M 0 9624 A 73135.439 D Common Stock 2023-02-15 4 M 0 3937 A 77072.439 D Common Stock 2023-02-15 4 M 0 14634 A 91706.439 D Common Stock 2023-02-15 4 M 0 7018 A 98724.439 D Common Stock 2023-02-15 4 F 0 20862 100.29 D 77862.439 D Restricted Stock Unit 2023-02-15 4 A 0 23930.601 A Common Stock 23930.601 127830.436 D Restricted Stock Unit 2023-02-15 4 M 0 7535.724 D Common Stock 7535.724 120294.712 D Restricted Stock Unit 2023-02-15 4 M 0 4281.594 D Common Stock 4281.594 116013.118 D Restricted Stock Unit 2023-02-15 4 M 0 9624 D Common Stock 9624 106389.118 D Restricted Stock Unit 2023-02-15 4 M 0 3937 D Common Stock 3937 102452.118 D Restricted Stock Unit 2023-02-15 4 M 0 14634 D Common Stock 14634 87818.118 D Restricted Stock Unit 2023-02-15 4 M 0 7018 D Common Stock 7018 80800.118 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, 2024, 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. These RSUs were subject to performance criteria, the achievement of which was determined on January 21, 2022, and thereafter vest in three equal annual installments beginning 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 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 February 8, 2023, and thereafter vest in three equal annual installments beginning on February 15, 2023, 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, 2023, 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 2023-02-16