-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Ns+DJP7G9tfXe9d7GUuHzWHUn8KJY9ooDhHXk5BIU7tvQ1mZjk8m87W/5KtI0ntF 4A9oxv0ASdE6qlDq8jL51Q== 0001127602-10-009059.txt : 20100318 0001127602-10-009059.hdr.sgml : 20100318 20100318150811 ACCESSION NUMBER: 0001127602-10-009059 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100316 FILED AS OF DATE: 20100318 DATE AS OF CHANGE: 20100318 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SMITH JOHN ALEXANDER CENTRAL INDEX KEY: 0001202768 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 10691386 MAIL ADDRESS: STREET 1: C/O MKS INSTRUMENTS STREET 2: 6 SHATTUCK ROAD 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 X0303 4 2010-03-16 0001049502 MKS INSTRUMENTS INC MKSI 0001202768 SMITH JOHN ALEXANDER 2 TECH DRIVE ANDOVER MA 01810 1 V.P. & Chief Tech Officer Common Stock 2010-03-16 4 M 0 1633 0 A 1633 D Common Stock 2010-03-16 4 M 0 1166 0 A 2799 D Common Stock 2010-03-16 4 F 0 890 19.29 D 1909 D Common Stock 2010-03-17 4 S 0 1909 19.17 D 0 D Restricted Stock Unit 2010-03-16 4 M 0 1633 0 D Common Stock 1633 11424 D Restricted Stock Unit 2010-03-16 4 M 0 1166 0 D Common Stock 1166 9001 D This transaction was effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person. This transaction was executed in multiple trades at prices ranging from $19.17 to 19.173. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, the full information regarding the number of shares and prices at which the transaction was effected. Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc. These RSUs are subject to the achievement of performance criteria determined in the first year of the grant and thereafter vests in equal annual installments over three years. The RSUs vest in equal annual installments over three years. /s/Renee M. Donlan POA 2010-03-18 -----END PRIVACY-ENHANCED MESSAGE-----