UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Unit | Â (1) | Â (1) | Common Stock | 17,040.25 | $ (2) | D | Â |
Restricted Stock Unit | Â (3) | Â (3) | Common Stock | 14,428.831 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Quirk Brian Charles 2 TECH DRIVE, SUITE 201 ANDOVER, MA 01810 |
 |  |  Sr. VP, Global Operations |  |
/s/Renee M. Donlan POA | 03/06/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The RSUs vest in equal annual installments over three years from the respective original grant date. The amount above comprises of: 2,113.136 which was granted on April 11, 2011; 4,938.407 which was granted on April 2, 2012; 3,962.536 which was granted on February 25, 2013; and 6,026.171 on February 10, 2014. |
(2) | Each restricted stock unit represents the contingent right to receive one share of common stock of MKS Instruments, Inc. |
(3) | 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 of over three years from the respective original grant date. The amount above comprises of 5,389.575 which was granted on on February 25, 2013 and 9,039.256 on February 10, 2014. |