-----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, EiKUklEz0CBQ02tyv8VSGQOGD3UEsUzWw2/IIXo5FIxssqydU66pLDKeK6CoRW3K abFS68Pg12q+/jsSIe3FfQ== 0000950103-02-000134.txt : 20020414 0000950103-02-000134.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950103-02-000134 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020131 FILED AS OF DATE: 20020208 SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-23621 FILM NUMBER: 02532042 BUSINESS ADDRESS: STREET 1: SIX SHATTUCK RD CITY: ANDOVER STATE: MA ZIP: 01810 BUSINESS PHONE: 9789752350 MAIL ADDRESS: STREET 1: SIX SHATTUCK ROAD CITY: ANDOVER STATE: MA ZIP: 01810 COMPANY DATA: COMPANY CONFORMED NAME: EMERSON ELECTRIC CO CENTRAL INDEX KEY: 0000032604 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] OWNER IRS NUMBER: 430259330 STATE OF INCORPORATION: MO FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 8000 W FLORISSANT AVE STREET 2: P O BOX 4100 CITY: ST LOUIS STATE: MO ZIP: 63136 BUSINESS PHONE: 3145532000 MAIL ADDRESS: STREET 1: 8000 W. FLORISSANT STREET 2: P.O. BOX 4100 CITY: ST LOUIS STATE: MO ZIP: 63136 FORMER COMPANY: FORMER CONFORMED NAME: EMERSON ELECTRIC MANUFACTUING CO DATE OF NAME CHANGE: 19730710 3 1 feb0602_form3.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES FORM 3 OMB APROVAL OMB NUMBER: 3235-0104 Expires: December 31, 2001 Estimated average burden hours per response........0.5 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Emerson Electric Co.(1) - -------------------------------------------------------------------------------- (Last) (First) (Middle) 8000 W. Florissant Avenue - -------------------------------------------------------------------------------- (Street) St. Louis MO 63136 - -------------------------------------------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 01/31/02 - -------------------------------------------------------------------------------- 3. IRS or Social Security Number of Reporting Person (Voluntary) - -------------------------------------------------------------------------------- 4. Issuer Name and Ticker or Trading Symbol MKS Instruments, Inc. (MKSI) - -------------------------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) Director X 10% Owner --- --- Officer (give title below) Other (specify below) --- --- - ------------------------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) Form filed by One Reporting Person - ---- X Form filed by More than One Reporting Person - ---- Table I Non-Derivative Securities Beneficially Owned
1. Title of Security 2. Amount of Securities 3. Ownership 4. Nature of Indirect (Instr. 4) Beneficially Owned Form: Direct Beneficial Ownership (Instr. 4) (D) or Indirect (Instr. 5) (I)(Instr. 5) - -------------------------------------------------------------------------------------------------------------- Common Stock 3,036,611 D - -------------------------------------------------------------------------------------------------------------- Common Stock 8,963,389 I(2) Through a Subsidiary - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- - -------------------------------------------------------------------------------------------------------------- * If the form is filed by more than one reporting person, see Instruction 5(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 3 (Over) SEC 1473 (3-99)
Table II Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative 2. Date Exercisable 3. Title and Amount of 4. Conver- 5. Owner- 6. Nature Security (Instr. 4) and Expiration Securities Underlying sion or ship of In- Date (Month/Day/ Year) Derivative Securities Exercise Form of direct ------------------------- (Instr. 4) Price of Deriv- Bene- Date Expira- ------------------------- Derivative ative ficial Exer- tion Title Amount Security Security: Owner- cisable Date or Direct ship Number (D) or (Instr. of Indirect 5) Shares (I) (Instr. 5) - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: (1) Please see attached Joint Filer Information. (2) The reported securities are owned directly by Astec America, Inc. The Reporting Person is the ultimate parent company of Astec America, Inc. /s/ Harley M. Smith - ------------------------------- **Signature of Reporting Person By: Harley M. Smith, Assistant Secretary /s/ David C. Moon - ------------------------------- **Signature of Reporting Person By: David C. Moon, as Vice President of Astec America, Inc. 02/07/02 - ------------------------------- Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays Page 2 of 3 a currently valid OMB Number. SEC 1473 (3-99)
Joint Filer Information Astec America Inc., 5810 Van Allen Way, Carlsbad, California 92008, has designated Emerson Electric Co. as the "Designated Filer" for the purposes of the attached Form 3. Issuer & Ticker Symbol: MKS Instruments, Inc. (MKSI) Date of Event Requiring Statement: 01/31/02 Signature: /s/ Harley M. Smith ----------------------------------------------------------- By: Harley M. Smith, Assistant Secretary of Emerson Electric Co. Signature: /s/ David C. Moon ----------------------------------------------------------- By: David C. Moon, as Vice President of Astec America, Inc. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----