MKS INC
For the period ended Mar 31, 2026. Filed May 7, 2026.
View on SEC.govAbout this filing
A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2026 · Filed May 7, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 5. OTHER INFORMATION
The following table describes, for the quarterly period covered by this report, each trading arrangement for the sale or purchase of Company securities adopted or terminated by our directors and officers (as defined in Rule 16a-1(f) under the Exchange Act) that is either (1) a contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) (a “Rule 10b5-1 trading arrangement”) or (2) a “non-Rule 10b5-1 trading arrangement” (as defined in Item 408(c) of Regulation S-K):
| Name (Title) | Action Taken (Date of Action) | Type of Trading Arrangement | Nature of Trading Arrangement | Duration of Trading Arrangement | Aggregate Number of Securities |
|---|---|---|---|---|---|
| Gerald G. Colella (Chairman of the Board of Directors) | Adoption (February 24, 2026) | Rule 10b5-1 trading arrangement | Sale | Until May 26, 2027, or such earlier date upon which all transactions are completed or expire without execution | Up to 20,000 shares |
| David P. Henry(Executive Vice President, Global Strategic Marketing, and General Manager, Materials Solutions Division) | Adoption (February 24, 2026) | Rule 10b5-1 trading arrangement | Sale | Until February 26, 2027, or such earlier date upon which all transactions are completed or expire without execution | Up to 2,500 shares |
| John T.C. Lee(President and Chief Executive Officer; Director) | Adoption (February 20, 2026) | Rule 10b5-1 trading arrangement | Sale | Until February 23, 2027, or such earlier date upon which all transactions are completed or expire without execution | Up to 40,000 shares(1) |
| Ramakumar Mayampurath(Executive Vice President and Chief Financial Officer) | Adoption (February 20, 2026) | Rule 10b5-1 trading arrangement | Sale | Until February 18, 2027, or such earlier date upon which all transactions are completed or expire without execution | Up to 8,810 shares |
| Michelle M. McCarthy(Senior Vice President and Chief Accounting Officer) | Adoption (March 5, 2026) | Rule 10b5-1 trading arrangement | Sale | Until March 5, 2027, or such earlier date upon which all transactions are completed or expire without execution | Up to 3,811 shares(1) |
| Elizabeth A. Mora (Director) | Adoption (February 23, 2026) | Rule 10b5-1 trading arrangement | Sale | Until March 2, 2027, or such earlier date upon which all transactions are completed or expire without execution | Up to 1,200 shares |
| James A. Schreiner (Executive Vice President and Chief Operating Officer) | Adoption (March 10, 2026) | Rule 10b5-1 trading arrangement | Sale | Until December 31, 2026, or such earlier date upon which all transactions are completed or expire without execution | Up to 781 shares |
| John E. Williams (Executive Vice President and General Manager, Photonics Solutions Division) | Adoption (March 5, 2026) | Rule 10b5-1 trading arrangement | Sale | Until March 31, 2027, or such earlier date upon which all transactions are completed or expire without execution | Up to 3,286 shares(1) |
(1)
This Rule 10b5-1 trading arrangement includes, in whole or in part, the sale of shares to be received upon vesting of certain outstanding restricted stock units (“RSUs”), net of any shares withheld by us to satisfy applicable tax withholding obligations. Unless the maximum number of shares to be sold is otherwise specified in the Rule 10b5-1 trading arrangement, (i) for shares to be received upon vesting of RSUs, represents the gross number of shares to be received before the surrender of shares in satisfaction of tax withholding obligations; and (ii) for shares to be received upon vesting of performance-based RSUs for which achievement has yet to be determined, represents the gross number of shares to be received based on target achievement.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.