# EDGAR Filing Document

**Accession Number:** 0001049502
**File Stem:** 0001193125-23-024904
**Filing Date:** 2023-2
**Character Count:** 6670
**Document Hash:** ef6ef506933a27afd576dc1a8bbe5dd8
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-024904.hdr.sgml**: 20230206

**ACCESSION NUMBER**: 0001193125-23-024904

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230203

**ITEM INFORMATION**: Other Events

**FILED AS OF DATE**: 20230206

**DATE AS OF CHANGE**: 20230206

**FILER**: 

**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:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-23621
- **FILM NUMBER:** 23588427

**BUSINESS ADDRESS:**
- **STREET 1:** 2 TECH DRIVE
- **STREET 2:** SUITE 201
- **CITY:** ANDOVER
- **STATE:** MA
- **ZIP:** 01810
- **BUSINESS PHONE:** 978-645-5500

**MAIL ADDRESS:**
- **STREET 1:** 2 TECH DRIVE
- **STREET 2:** SUITE 201
- **CITY:** ANDOVER
- **STATE:** MA
- **ZIP:** 01810

?xml version="1.0" encoding="utf-8" ? 8-K

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### WASHINGTON, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 or 15(d)

#### of the Securities Exchange Act of 1934

#### Date of Report (Date of Earliest Event Reported): February 3, 2023

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## MKS Instruments, Inc.

#### (Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Massachusetts** | **000-23621** | **04-2277512** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(I.R.S. Employer**<br> **Identification No.)** |

---

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| | |
|:---|:---|
| **2 Tech Drive, Suite 201, Andover,**<br> **Massachusetts** | **01810** |
| **(Address of principal executive offices)** | **(Zip Code)** |

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#### Registrant's telephone number, including area code: 978-645-5500

#### Not Applicable

#### Former name or former address, if changed since last report

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading**<br> **Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| Common Stock, no par value | MKSI | Nasdaq Global Select Market |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 8.01** | **Other Events.**  |

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On February 3, 2023, MKS Instruments, Inc. (the "Company") identified that it had become subject to a ransomware event and took immediate action to activate its incident response and business continuity protocols to contain the incident. The Company's investigation and assessment of the impact of this incident is ongoing and appropriate incident response professionals have been engaged. The Company has notified law enforcement authorities.

The Company is in the early stages of its investigation and assessment of this incident. The incident has affected certain business systems, including production-related systems, and as part of the containment effort, the Company has elected to temporarily suspend operations at certain of its facilities. The Company is working diligently to complete the investigation and restore the Company's systems and impacted operations as quickly as possible. The full scope of the costs and related impacts of this incident, including the extent to which the Company's cybersecurity insurance may offset some of these costs, has not been determined.

#### Safe Harbor for Forward-Looking Statements
This Current Report on Form 8-K contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995, Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 relating to the Company's expectations regarding its ability to contain and assess the ransomware incident and its impact on the Company. These statements are only predictions based on current assumptions and expectations. Actual events or results may differ materially from those in the forward-looking statements set forth herein. Among the important factors that could cause actual events to differ materially from those in the forward-looking statements are the ongoing assessment of the cybersecurity incident; legal, reputational and financial risks resulting from the cybersecurity incident or additional cybersecurity incidents; and the other factors described in the Company's Quarterly Report on Form 10-Q for the quarter ended September 30, 2022, filed with the U.S. Securities and Exchange Commission on November 7, 2022, particularly the risks described under the following subheading: "Risks Related to Cybersecurity, Data Privacy and Intellectual Property Protection". The Company is under no obligation to, and expressly disclaims any obligation to, update or alter these forward-looking statements, whether as a result of new information, future events or otherwise after the date of this Current Report on Form 8-K except as may be required under applicable securities law.

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#### SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | MKS Instruments, Inc. | MKS Instruments, Inc. |
|  | By: | /s/ Kathleen F. Burke |
| Date: February 6, 2023 | Name: | Kathleen F. Burke |
|  | Title: | Senior Vice President, General Counsel and Secretary |

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