1
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
(RULE 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT TO RULES 13d-1(b)(c), AND (d)
AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-(2)(b)
(AMENDMENT NO. 1)
MKS Instruments, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
55306N 10 4
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(CUSIP Number)
December 31, 2000
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(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule
is filed:
/ / Rule 13d-1(b)
/ / Rule 13d-1(c)
/X/ Rule 13d-1(d)
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CUSIP No. 55306N 10 4 13G Page 2 of Page 11
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
John R. Bertucci
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
(b)
Not Applicable
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
5,857,393
--------------------------------------------------------
6 SHARED VOTING POWER
NUMBER OF
SHARES
BENEFICIALLY 1,668,346
--------------------------------------------------------
OWNED BY 7 SOLE DISPOSITIVE POWER
EACH
REPORTING 5,857,393
--------------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH
1,668,346
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,525,739
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
Not Applicable
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
29.4%
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12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
* See Instructions before filling out.
3
CUSIP No. 55306N 10 4 13G Page 3 of Page 11
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Claire R. Bertucci
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
(b)
Not Applicable
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
5,939,125
--------------------------------------------------------
6 SHARED VOTING POWER
NUMBER OF
SHARES
BENEFICIALLY 1,763,491
--------------------------------------------------------
OWNED BY 7 SOLE DISPOSITIVE POWER
EACH
REPORTING 5,939,125
--------------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH
1,763,491
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,702,616
--------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
Not Applicable
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
30.1%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
--------------------------------------------------------------------------------
* See Instructions before filling out.
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CUSIP No. 55306N 10 4 13G Page 4 of Page 11
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Richard S. Chute
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
(b)
Not Applicable
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
25,092
--------------------------------------------------------
6 SHARED VOTING POWER
NUMBER OF
SHARES
BENEFICIALLY 1,763,491
--------------------------------------------------------
OWNED BY 7 SOLE DISPOSITIVE POWER
EACH
REPORTING 25,092
--------------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH
1,763,491
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,788,583
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
Not Applicable
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.0%
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12 TYPE OF REPORTING PERSON*
IN
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* See Instructions before filling out.
5
CUSIP No. 55306N 10 4 13G Page 5 of Page 11
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Thomas H. Belknap
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)
(b)
Not Applicable
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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5 SOLE VOTING POWER
350
--------------------------------------------------------
6 SHARED VOTING POWER
NUMBER OF
SHARES
BENEFICIALLY 1,668,346
--------------------------------------------------------
OWNED BY 7 SOLE DISPOSITIVE POWER
EACH
REPORTING 350
--------------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH
1,668,346
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,668,696
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
Not Applicable
--------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.5%
--------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
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* See Instructions before filling out.
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CUSIP No. 55306N 10 4 13G Page 6 of Page 11
Item 1(a). Name of Issuer:
MKS Instruments, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
Six Shattuck Road
Andover, MA 01810
Item 2(a). Name of Person Filing:
John R. Bertucci; Claire R. Bertucci; Richard S. Chute; and
Thomas H. Belknap
Item 2(b). Address of Principal Business Office or, if None, Residence:
The address of the reporting persons is:
c/o MKS Instruments, Inc.
Six Shattuck Road
Andover, MA 01810
Item 2(c). Citizenship:
Each of Messrs. Bertucci, Chute and Belknap and Mrs. Bertucci
are citizens of the United States.
Item 2(d). Title of Class of Securities:
Common Stock, no par value per share.
Item 2(e). CUSIP Number:
CUSIP No. 55306N 10 4
Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or
13d-2(b) or (c), Check Whether the Person Filing is a: Not
Applicable.
(a) Broker or dealer registered under Section 15 of the
Exchange Act.
(b) Bank as defined in Section 3(a)(6) of the Exchange
Act.
(c) Insurance company as defined in Section 3(a)(19) of
the Exchange Act.
(d) Investment company registered under Section 8 of the
Investment Company Act.
(e) An investment adviser in accordance with Rule
13d-1(b)(1)(ii)(E);
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CUSIP No. 55306N 10 4 13G Page 7 of Page 11
(f) An employee benefit plan or endowment fund in
accordance with Rule 13d-1(b)91)(ii)(F);
(g) A parent holding company or control person in
accordance with Rule 13d-1(b)(1)(ii)(G);
(h) A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act;
(i) A church plan that is excluded from the definition of
an investment company under Section 3(c)(14) of the
Investment Company Act;
(j) Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
Item 4. Ownership:
The filing of this statement shall not be construed as an
admission that any of the reporting persons are, for the purpose of Section
13(d) or 13(g) of the Act, the beneficial owners of any securities covered under
this Statement.
(a) Amount Beneficially Owned by John R. Bertucci:
7,525,739 shares
(b) Percent of Class: 29.4%
(c) Number of Shares as to which John R. Bertucci has:
(i) Sole power to vote or to direct the vote:
5,857,393 shares
(ii) Shared power to vote or to direct the vote:
1,668,346 shares
(iii) Sole power to dispose or to direct the
disposition of: 5,857,393 shares
(iv) Shared power to dispose or to direct the
disposition of: 1,668,346 shares
(a) Amount Beneficially Owned by Claire R. Bertucci:
7,702,616 shares
(b) Percent of Class: 30.1%
(c) Number of Shares as to which Claire R. Bertucci has:
(i) Sole power to vote or to direct the vote:
5,939,125 shares
(ii) Shared power to vote or to direct the vote:
1,763,491 shares
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CUSIP No. 55306N 10 4 13G Page 8 of Page 11
(iii) Sole power to dispose or to direct the
disposition of: 5,939,125 shares
(iv) Shared power to dispose or to direct the
disposition of: 1,763,491 shares
(a) Amount Beneficially Owned by Richard S. Chute:
1,788,583 shares
(b) Percent of Class: 7.0%
(c) Number of Shares as to which Richard S. Chute has:
(i) Sole power to vote or to direct the vote:
25,092 shares
(ii) Shared power to vote or to direct the vote:
1,763,491 shares
(iii) Sole power to dispose or to direct the
disposition of: 25,092 shares
(iv) Shared power to dispose or to direct the
disposition of: 1,763,491 shares
(a) Amount Beneficially Owned by Thomas H. Belknap:
1,668,696 shares
(b) Percent of Class: 6.5%
(c) Number of Shares as to which Thomas H. Belknap has:
(i) Sole power to vote or to direct the vote:
350 shares
(ii) Shared power to vote or to direct the vote:
1,668,346 shares
(iii) Sole power to dispose or to direct the
disposition of: 350 shares
(iv) Shared power to dispose or to direct the
disposition of: 1,668,346 shares
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the
beneficial owner of more than 5% of the class of securities,
check the following: [ ]
Item 6. Ownership of More than Five Percent on Behalf of Another
Person.
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CUSIP No. 55306N 10 4 13G Page 9 of Page 11
John R. Bertucci, Claire R. Bertucci, and certain of their
family members, with respect to shares held by certain trusts,
have the right to receive the dividends and proceeds from
sales of shares held by such trusts.
Item 7. Identification and Classification of the Subsidiary Which
Acquired the Security Being Reported on by the Parent Holding
Company.
Not applicable
Item 8. Identification and Classification of Members of the Group.
Not applicable
Item 9. Notice of Dissolution of Group.
Not applicable
Item 10. Certification.
Not applicable
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CUSIP No. 55306N 10 4 13G Page 10 of Page 11
SIGNATURES
After reasonable inquiry and to the best of the knowledge and belief of
each of the undersigned, each of the undersigned hereby certifies that the
information set forth in this statement is true, complete and correct.
Dated: February 14, 2001
/s/ John R. Bertucci
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John R. Bertucci
/s/ Claire R. Bertucci
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Claire R. Bertucci
/s/ Richard S. Chute
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Richard S. Chute
/s/ Thomas H. Belknap
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Thomas H. Belknap