Statement of Changes in Beneficial Ownership (4)
February 17 2021 - 6:52PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
BAGSHAW SETH H |
2. Issuer Name and Ticker or Trading Symbol
MKS INSTRUMENTS INC
[
MKSI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Sr. VP, CFO & Treasurer |
(Last)
(First)
(Middle)
C/O MKS INSTRUMENTS, INC., 2 TECH DRIVE, SUITE 201 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/16/2021 |
(Street)
ANDOVER, MA 01810
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/16/2021 | | M | | 2201.689 | A | (1) | 21490.279 | D | |
Common Stock | 2/16/2021 | | M | | 1870.585 | A | (1) | 23360.864 | D | |
Common Stock | 2/16/2021 | | M | | 2941.722 | A | (1) | 26302.586 | D | |
Common Stock | 2/16/2021 | | M | | 2642.821 | A | (1) | 28945.407 | D | |
Common Stock | 2/16/2021 | | M | | 3999 | A | (1) | 32944.407 | D | |
Common Stock | 2/16/2021 | | M | | 2180 | A | (1) | 35124.407 | D | |
Common Stock | 2/16/2021 | | F(2) | | 6714 | D | $172.20 | 28410.407 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Unit | (1) | 2/16/2021 | | A | | 4769.164 | | (3) | (3) | Common Stock | 4769.164 | (1) | 47263.518 | D | |
Restricted Stock Unit | (1) | 2/16/2021 | | M | | | 2201.689 | (4) | (4) | Common Stock | 2201.689 | (1) | 45061.829 | D | |
Restricted Stock Unit | (1) | 2/16/2021 | | M | | | 1870.585 | (5) | (5) | Common Stock | 1870.585 | (1) | 43191.244 | D | |
Restricted Stock Unit | (1) | 2/16/2021 | | M | | | 2941.722 | (6) | (6) | Common Stock | 2941.722 | (1) | 40249.522 | D | |
Restricted Stock Unit | (1) | 2/16/2021 | | M | | | 2642.821 | (7) | (7) | Common Stock | 2642.821 | (1) | 37606.701 | D | |
Restricted Stock Unit | (1) | 2/16/2021 | | M | | | 3999 | (8) | (8) | Common Stock | 3999 | (1) | 33607.701 | D | |
Restricted Stock Unit | (1) | 2/16/2021 | | M | | | 2180 | (9) | (9) | Common Stock | 2180 | (1) | 31427.701 | D | |
Explanation of Responses: |
(1) | Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. |
(2) | This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. |
(3) | 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. |
(4) | These RSUs were subject to performance criteria, the achievement of which was determined on January 28, 2019, 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. |
(5) | 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. |
(6) | These RSUs were subject to performance criteria, the achievement of which was determined on January 27, 2020, and thereafter vest in three equal 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. |
(7) | 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. |
(8) | 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. |
(9) | 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. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BAGSHAW SETH H C/O MKS INSTRUMENTS, INC. 2 TECH DRIVE, SUITE 201 ANDOVER, MA 01810 |
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| Sr. VP, CFO & Treasurer |
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Signatures
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/s/ M. Kathryn Rickards, attorney-in-fact | | 2/17/2021 |
**Signature of Reporting Person | Date |
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