Form 4 for MKSI MKS INC
Accepted 2023-02-16 00:00:00 ET · period of report 2023-02-15 · accession 0001127602-23-005504 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-02-16 | 2023-02-15 | MKSI | BAGSHAW SETH H | EVP, CFO, Treas | M - OptEx | — | +18.0K | 49.9K | +56% | — |
| D | 2023-02-16 | 2023-02-15 | MKSI | BAGSHAW SETH H | EVP, CFO, Treas | F - Tax | $100.29 | -6,976 | 45.4K | -13% | -$699.6K |
| D | 2023-02-16 | 2023-02-15 | MKSI | BAGSHAW SETH H | EVP, CFO, Treas | A - Grant | — | +8,637 | 45.4K | +24% | — |
| DM | 2023-02-16 | 2023-02-15 | MKSI | BAGSHAW SETH H | EVP, CFO, Treas | M - OptEx | — | -18.0K | 29.8K | -38% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2023-02-15 | M | A | 2,431 | — | 52,372.50 | D | — | — | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. |
| 2 | Common | Common Stock | 2023-02-15 | M | A | 3,836.89 | — | 38,204.52 | D | — | — | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. |
| 3 | Common | Common Stock | 2023-02-15 | M | A | 2,179.98 | — | 40,384.50 | D | — | — | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. |
| 4 | Common | Common Stock | 2023-02-15 | M | A | 3,729 | — | 44,113.50 | D | — | — | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. |
| 5 | Common | Common Stock | 2023-02-15 | M | A | 1,525 | — | 45,638.50 | D | — | — | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. |
| 6 | Common | Common Stock | 2023-02-15 | M | A | 4,303 | — | 49,941.50 | D | — | — | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. |
| 7 | Common | Common Stock | 2023-02-15 | F | D | 6,976 | $100.29 | 45,396.50 | D | — | — | |
| 8 | Derivative | Restricted Stock Unit | 2023-02-15 | A | A | 8,637.45 | — | 45,366.05 | D | — · — to — | 8,637.45 Common Stock | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. (F3) 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. |
| 9 | Derivative | Restricted Stock Unit | 2023-02-15 | M | D | 2,431 | — | 27,361.18 | D | — · — to — | 2,431 Common Stock | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. (F9) 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. |
| 10 | Derivative | Restricted Stock Unit | 2023-02-15 | M | D | 3,729 | — | 35,620.18 | D | — · — to — | 3,729 Common Stock | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. (F6) 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. |
| 11 | Derivative | Restricted Stock Unit | 2023-02-15 | M | D | 3,836.89 | — | 41,529.16 | D | — · — to — | 3,836.89 Common Stock | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. (F4) 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. |
| 12 | Derivative | Restricted Stock Unit | 2023-02-15 | M | D | 2,179.98 | — | 39,349.18 | D | — · — to — | 2,179.98 Common Stock | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. (F5) 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. |
| 13 | Derivative | Restricted Stock Unit | 2023-02-15 | M | D | 1,525 | — | 34,095.18 | D | — · — to — | 1,525 Common Stock | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. (F7) 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. |
| 14 | Derivative | Restricted Stock Unit | 2023-02-15 | M | D | 4,303 | — | 29,792.18 | D | — · — to — | 4,303 Common Stock | (F1) Each restricted stock unit (RSU) represents the contingent right to receive one share of common stock of MKS Instruments, Inc. (F8) 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. |