David Philip Henry Form 3 MKS INSTRUMENTS / David Philip Henry ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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^*

Henry David Philip

(Last) (First) (Middle)

C/O MKS INSTRUMENTS, INC.

2 TECH DRIVE, SUITE 201

(Street)

ANDOVER MA 01810

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
02/08/2021

3. Issuer Name and Ticker or Trading Symbol
MKS INSTRUMENTS INC [ MKSI ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
SVP, Corp Mkt, PMO & Glob Svc

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	674.204	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares
Restricted Stock Unit	(1)	(1)	Common Stock	356.376	(2)	D
Restricted Stock Unit	(3)	(3)	Common Stock	958.339	(2)	D
Restricted Stock Unit	(4)	(4)	Common Stock	3,512.778	(2)	D

Explanation of Responses:

1. These restricted stock units (RSUs) vest on April 13, 2021.

2. Each RSU represents the contingent right to receive one share of common stock of MKS Instruments, Inc.

3. These RSUs vest in two equal annual installments commencing on April 15, 2021, provided that if, in any vesting year, April 15th is not a business day, such vesting shall occur on the next business day.

4. 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.

Remarks:

Exhibit 24 - Power of Attorney

	/s/ M. Kathryn Rickards, attorney-in-fact	02/09/2021
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
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