0001127602-23-005514.txt : 20230216 0001127602-23-005514.hdr.sgml : 20230216 20230216151008 ACCESSION NUMBER: 0001127602-23-005514 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: Schreiner James Alan CENTRAL INDEX KEY: 0001797189 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 23638228 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 2023-02-15 0001049502 MKS INSTRUMENTS INC MKSI 0001797189 Schreiner James Alan C/O MKS INSTRUMENTS, INC. 2 TECH DRIVE, SUITE 201 ANDOVER MA 01810 1 EVP & COO, MSD Common Stock 2023-02-15 4 M 0 1001.425 A 7734.558 D Common Stock 2023-02-15 4 M 0 695.712 A 8430.27 D Common Stock 2023-02-15 4 M 0 1307 A 9737.27 D Common Stock 2023-02-15 4 M 0 653 A 10390.27 D Common Stock 2023-02-15 4 M 0 1629 A 12019.27 D Common Stock 2023-02-15 4 M 0 1171 A 13190.27 D Common Stock 2023-02-15 4 F 0 1899 100.29 D 11291.27 D Restricted Stock Unit 2023-02-15 4 A 0 3988.434 A Common Stock 3988.434 18011.289 D Restricted Stock Unit 2023-02-15 4 M 0 1001.425 D Common Stock 1001.425 17009.864 D Restricted Stock Unit 2023-02-15 4 M 0 695.712 D Common Stock 695.712 16314.152 D Restricted Stock Unit 2023-02-15 4 M 0 1307 D Common Stock 1307 15007.152 D Restricted Stock Unit 2023-02-15 4 M 0 653 D Common Stock 653 14354.152 D Restricted Stock Unit 2023-02-15 4 M 0 1629 D Common Stock 1629 12725.152 D Restricted Stock Unit 2023-02-15 4 M 0 1171 D Common Stock 1171 11554.152 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