sv8
As filed with the Securities and Exchange Commission on August 10, 2009
Registration No. 333-
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM S-8
REGISTRATION STATEMENT UNDER
THE SECURITIES ACT OF 1933
MKS Instruments, Inc.
(Exact Name of Registrant as Specified in Its Charter)
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Massachusetts
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04-2277512 |
(State or Other Jurisdiction of Incorporation
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(I.R.S. Employer |
or Organization)
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Identification No.) |
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2 Tech Drive, Suite 201,
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01810 |
Andover, Massachusetts |
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(Address of Principal Executive Offices)
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(Zip Code) |
Fourth Amended and Restated 1999 Employee Stock Purchase Plan
Third Amended and Restated International Employee Stock Purchase Plan
(Full Title of the Plan)
Ronald C Weigner
Vice President, Chief Financial Officer and Treasurer
MKS Instruments, Inc.
2 Tech Drive, Suite 201,
Andover, Massachusetts 01810
(Name and Address of Agent For Service)
(978) 645-5500
(Telephone Number, Including Area Code, of Agent For Service)
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated
filer, a non-accelerated filer, or a smaller reporting company. See the definitions of large
accelerated filer, accelerated filer and smaller reporting company in Rule 12b-2 of the
Exchange Act. (Check one):
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Large accelerated filer þ
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Accelerated filer o
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Non-accelerated filer o
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Smaller reporting company o |
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(Do not check if a smaller reporting company) |
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CALCULATION OF REGISTRATION FEE
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Proposed |
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Proposed |
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Title of |
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Maximum |
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Maximum |
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Securities to be |
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Amount to be |
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Offering Price Per |
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Aggregate |
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Amount of |
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Registered |
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Registered(1) |
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Share |
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Offering Price |
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Registration Fee |
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Common Stock, no
par value per share |
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850,000 shares (2) |
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$19.41(3) |
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$16,498,500(3) |
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$920.62 |
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(1) |
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In accordance with Rule 416 under the Securities Act of 1933, as amended, this registration
statement shall be deemed to cover any additional securities that may from time to time be
offered or issued to prevent dilution resulting from stock splits, stock dividends or similar
transactions. |
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(2) |
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Consists of (i) 700,000 shares issuable under the Fourth Amended and Restated 1999 Employee
Stock Purchase Plan and (ii) 150,000 shares issuable under the Third Amended and Restated
International Employee Stock Purchase Plan. |
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(3) |
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Estimated solely for the purpose of calculating the registration fee pursuant to Rules 457(c)
and 457(h) of the Securities Act of 1933, as amended, and based upon the average of the high
and low prices of the Registrants Common Stock as reported on the Nasdaq Global Market on
August 5, 2009. |
TABLE OF CONTENTS
PART I
INFORMATION REQUIRED IN THE SECTION 10(a) PROSPECTUS
Item 1. Plan Information.
The information required by Item 1 is included in documents sent or given to participants in
the plans covered by this registration statement pursuant to Rule 428(b)(1) of the Securities Act
of 1933, as amended (the Securities Act).
Item 2. Registrant Information and Employee Plan Annual Information.
The written statement required by Item 2 is included in documents sent or given to
participants in the plans covered by this registration statement pursuant to Rule 428(b)(1) of the
Securities Act.
PART II
INFORMATION REQUIRED IN THE REGISTRATION STATEMENT
Item 3. Incorporation of Documents by Reference.
The registrant is subject to the informational and reporting requirements of Sections 13(a),
14, and 15(d) of the Securities Exchange Act of 1934, as amended (the Exchange Act), and in
accordance therewith files reports, proxy statements and other information with the Securities and
Exchange Commission (the Commission). The following documents, which are on file with the
Commission, are incorporated in this registration statement by reference:
(a) The registrants latest annual report filed pursuant to Section 13(a) or 15(d) of the
Exchange Act or the latest prospectus filed pursuant to Rule 424(b) under the Securities Act that
contains audited financial statements for the registrants latest fiscal year for which such
statements have been filed.
(b) All other reports filed pursuant to Section 13(a) or 15(d) of the Exchange Act since the
end of the fiscal year covered by the document referred to in (a) above.
(c) The description of the securities contained in the registrants registration statement on
Form 8-A filed under the Exchange Act, including any amendment or report filed for the purpose of
updating such description.
All documents subsequently filed by the registrant pursuant to Sections 13(a), 13(c), 14 and
15(d) of the Exchange Act, prior to the filing of a post-effective amendment which indicates that
all securities offered hereby have been sold or which deregisters all securities then remaining
unsold, shall be deemed to be incorporated by reference in this registration statement and to be
part hereof from the date of the filing of such documents. Any statement contained in a document
incorporated or deemed to be incorporated by reference herein shall be deemed to be modified or
superseded for the purposes of this registration statement to the extent that a statement contained
herein or in any other subsequently filed document which also is or is deemed to be incorporated by
reference herein modifies or supersedes such statement. Any statement so modified or superseded
shall not be deemed, except as so modified or superseded, to constitute a part of this registration
statement.
Item 4. Description of Securities.
Not applicable.
Item 5. Interests of Named Experts and Counsel.
Wilmer Cutler Pickering Hale and Dorr LLP (WilmerHale) has opined as to the legality of the
securities being offered by this registration statement.
Item 6. Indemnification of Directors and Officers.
Section 8.51(a) of Chapter 156D of the Massachusetts General Laws provides that a corporation
may indemnify (A) a director who is a party to a proceeding if (i) he conducted himself in good
faith, (ii) he reasonably believed that his conduct was in the best interests of the corporation or
that his conduct was at least not opposed to the best interests of the corporation and (iii) he had
no reasonable cause to believe his conduct was unlawful or (B) a director who is a party to a
proceeding if he engaged in conduct for which he shall not be liable under a provision of the
Articles of Organization (defined below).
Section 8.52 of Chapter 156D provides that a corporation must indemnify a director who is
wholly successful, on the merits or otherwise, in the defense of any proceeding to which the
director was a party because he was a director of the corporation against reasonable expenses
incurred by him in connection with the proceeding.
Section 8.56(a) of Chapter 156D provides that a corporation may indemnify its officers to the
same extent as its directors and, for officers that are not directors, to the extent provided by
(i) the Articles of Organization, (ii) the bylaws, (iii) resolutions of the board of directors or
(iv) a contract. In all instances, the extent to which a corporation provides indemnification to
its officers under Section 8.56(a) is optional. Section 8.56(c) provides that an officer of a
corporation who is not a director is entitled to mandatory indemnification under Section 8.52.
In its Restated Articles of Organization (the Articles of Organization), the registrant has
elected to commit to provide mandatory indemnification to its directors and officers in specified
circumstances. Generally, Article 6B of the registrants Articles of Organization provides that
the registrant shall indemnify directors and officers of the registrant against liabilities and
expenses arising out of legal proceedings brought against them by reason of their status as
directors or officers or by reason of their agreeing to serve, at the request of the registrant, as
a director or officer with another organization. Under this provision, a director or officer of the
registrant shall be indemnified by the registrant for all expenses (including attorneys fees),
judgments and fines, and amounts paid in settlement of such proceedings, even if he is not
successful on the merits, unless finally adjudicated not to have acted in good faith in the
reasonable belief that his action was in the best interests of the registrant. The registrant shall
not indemnify an officer or director who initiates the legal proceeding, unless the initiation was
approved by the registrants Board of Directors. The registrant shall not indemnify to the extent
that directors or officers receive reimbursement from the proceeds of insurance. The Board of
Directors may authorize advancing litigation expenses to a director or officer at his request upon
receipt of an undertaking by any such director or officer to repay such expenses if it is
ultimately determined that he is not entitled to indemnification for such expenses. However, the
director or officer must notify the registrant of any suit, after which the registrant is entitled
to participate and/or assume the defense of the proceeding. If the registrant does assume the
defense of the proceeding, the director or officer shall not be entitled to indemnification of
expenses.
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Section 2.02(b)(4) of Chapter 156D of the Massachusetts General Laws allows a corporation to
eliminate or limit the personal liability of a director of a corporation to the corporation for
monetary damages for a breach of fiduciary duty as a director notwithstanding any provision of law
imposing such liability, except where (i) the director breached his duty of loyalty to the corporation or its
shareholders, (ii) for acts or omissions not in good faith or which involve intentional misconduct
or a knowing violation of law or (iii) for any transactions from which the director derived an
improper personal benefit. Article 6A of the registrants Articles of Organization eliminates the
personal liability of the registrants directors to the registrant or its stockholders for monetary
damages for breach of a directors fiduciary duty, except to the extent Chapter 156D of the
Massachusetts General Laws prohibits the elimination or limitation of such liability.
The registrant has obtained directors and officers liability insurance for the benefit of its
directors and certain of its officers.
Item 7. Exemption from Registration Claimed.
Not applicable.
Item 8. Exhibits.
The Exhibit Index immediately preceding the exhibits is incorporated herein by reference.
Item 9. Undertakings.
1. Item 512(a) of Regulation S-K. The undersigned registrant hereby undertakes:
(1) To file, during any period in which offers or sales are being made, a
post-effective amendment to this registration statement:
(i) To include any prospectus required by Section 10(a)(3) of the Securities
Act of 1933;
(ii) To reflect in the prospectus any facts or events arising after the
effective date of the registration statement (or the most recent post-effective
amendment thereof) which, individually or in the aggregate, represent a fundamental
change in the information set forth in the registration statement. Notwithstanding
the foregoing, any increase or decrease in volume of securities offered (if the
total dollar value of securities offered would not exceed that which was registered)
and any deviation from the low or high end of the estimated maximum offering range
may be reflected in the form of prospectus filed with the Commission pursuant to
Rule 424(b) if, in the aggregate, the changes in volume and price represent no more
than 20 percent change in the maximum aggregate offering price set forth in the
Calculation of Registration fee table in the effective registration statement;
(iii) To include any material information with respect to the plan of
distribution not previously disclosed in the registration statement or any material
change to such information in the registration statement;
Provided, however, That paragraphs (i) and (ii) do not apply if the information
required to be included in a post-effective amendment by those paragraphs is
contained in reports filed with or furnished to the Commission by the registrant
pursuant to Section 13 or
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Section 15(d) of the Exchange Act that are incorporated by reference in the
registration statement.
(2) That, for the purpose of determining any liability under the Securities Act of
1933, each such post-effective amendment shall be deemed to be a new registration statement
relating to the securities offered therein, and the offering of such securities at that time
shall be deemed to be the initial bona fide offering thereof.
(3) To remove from registration by means of a post-effective amendment any of the
securities being registered which remain unsold at the termination of the offering.
2. Item 512(b) of Regulation S-K. The undersigned registrant hereby undertakes that,
for purposes of determining any liability under the Securities Act of 1933, each filing of the
registrants annual report pursuant to Section 13(a) or Section 15(d) of the Securities Exchange
Act of 1934 (and, where applicable, each filing of an employee benefit plans annual report
pursuant to Section 15(d) of the Securities Exchange Act of 1934) that is incorporated by reference
in the registration statement shall be deemed to be a new registration statement relating to the
securities offered therein, and the offering of such securities at that time shall be deemed to be
the initial bona fide offering thereof.
3. Item 512(h) of Regulation S-K. Insofar as indemnification for liabilities arising
under the Securities Act of 1933 may be permitted to directors, officers and controlling persons
of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been
advised that in the opinion of the Securities and Exchange Commission such indemnification is
against public policy as expressed in the Securities Act of 1933 and is, therefore, unenforceable.
In the event that a claim for indemnification against such liabilities (other than the payment by
the registrant of expenses incurred or paid by a director, officer or controlling person of the
registrant in the successful defense of any action, suit or proceeding) is asserted by such
director, officer or controlling person in connection with the securities being registered, the
registrant will, unless in the opinion of its counsel the matter has been settled by controlling
precedent, submit to a court of appropriate jurisdiction the question whether such indemnification
by it is against public policy as expressed in the Securities Act of 1933 and will be governed by
the final adjudication of such issue.
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SIGNATURES
Pursuant to the requirements of the Securities Act of 1933, the registrant certifies that it
has reasonable grounds to believe that it meets all of the requirements for filing on Form S-8 and
has duly caused this registration statement to be signed on its behalf by the undersigned,
thereunto duly authorized, in the town of Andover, Commonwealth of Massachusetts, on this
7th day of August, 2009.
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MKS Instruments, Inc.
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By: |
/s/ Ronald C. Weigner
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Ronald C. Weigner |
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VP, CFO & Treasurer |
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POWER OF ATTORNEY AND SIGNATURES
We, the undersigned officers and directors of MKS Instruments, Inc., hereby severally
constitute and appoint Leo Berlinghieri, Ronald C. Weigner and Kathleen F. Burke, and each of them
singly, our true and lawful attorneys with full power to them, and each of them singly, to sign for
us and in our names in the capacities indicated below, the registration statement on Form S-8 filed
herewith and any and all subsequent amendments to said registration statement, and generally to do
all such things in our names and on our behalf in our capacities as officers and directors to
enable MKS Instruments, Inc. to comply with the provisions of the Securities Act of 1933, as
amended, and all requirements of the Securities and Exchange Commission, hereby ratifying and
confirming our signatures as they may be signed by our said attorneys, or any of them, to said
registration statement and any and all amendments thereto.
Pursuant to the requirements of the Securities Act of 1933, this registration statement has been
signed by the following persons in the capacities and on the dates indicated.
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SIGNATURES |
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TITLE |
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DATE |
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/s/ John R. Bertucci
John R. Bertucci
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Chairman of the Board of Directors
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August 7, 2009 |
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Chief Executive Officer, President and
Director
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August 7, 2009 |
Leo Berlinghieri
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(Principal Executive Officer) |
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Vice President, Chief Financial Officer and
Treasurer
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August 7, 2009 |
Ronald C. Weigner
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(Principal Financial and Accounting Officer) |
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/s/ Cristina H. Amon
Cristina H. Amon
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Director
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August 7, 2009 |
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/s/ Robert R. Anderson
Robert R. Anderson
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Director
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August 7, 2009 |
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/s/ Gregory R. Beecher
Gregory R. Beecher
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Director
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August 7, 2009 |
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/s/ Richard S. Chute
Richard S. Chute
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Director
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August 7, 2009 |
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/s/ Peter R. Hanley
Peter R. Hanley
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Director
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August 7, 2009 |
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/s/ Hans-Jochen Kahl
Hans-Jochen Kahl
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Director
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August 7, 2009 |
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/s/ Louis P. Valente
Louis P. Valente
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Director
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August 7, 2009 |
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INDEX TO EXHIBITS
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Exhibit |
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Number |
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Description |
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4.1 (1)
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Restated Articles of Organization of the Registrant. |
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4.2 (2)
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Articles of Amendment, as filed with the Secretary of State of Massachusetts on May 18,
2001. |
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4.3 (3)
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Articles of Amendment, as filed with the Secretary of State of Massachusetts on May 16,
2002. |
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4.4 (4)
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Amended and Restated By-Laws of the Registrant. |
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5.1
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Opinion of Wilmer Cutler Pickering Hale and Dorr LLP. |
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23.1
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Consent of Wilmer Cutler Pickering Hale and Dorr LLP (included in Exhibit 5.1). |
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23.2
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Consent of PricewaterhouseCoopers LLP. |
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24.1
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Power of Attorney (included in the signature pages of this Registration Statement). |
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99.1 (5)
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Fourth Amended and Restated 1999 Employee Stock Purchase Plan. |
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99.2 (5)
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Third Amended and Restated International Employee Stock Purchase Plan. |
(1) |
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Incorporated herein by reference from the Registrants Registration Statement on Form S-4
(File No. 333-49738) filed with the Securities and Exchange Commission on November 13, 2000. |
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(2) |
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Incorporated herein by reference from the Registrants Quarterly Report on Form 10-Q (File
No. 000-23621) for the quarter ended June 30, 2001. |
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(3) |
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Incorporated herein by reference from the Registrants Quarterly Report on Form 10-Q (File
No. 000-23621) for the quarter ended June 30, 2002. |
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(4) |
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Incorporated herein by reference from the Registrants Registration Statement on Form S-1A
(File No. 333-71363) filed with the Securities and Exchange Commission on March 2, 1999. |
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(5) |
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Incorporated herein by reference from the Registrants Current Report on Form 8-K, filed with
the Securities and Exchange Commission on May 6, 2009. |
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exv5w1
Exhibit 5.1
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August 7, 2009
MKS Instruments, Inc.
2 Tech Drive, Suite 201
Andover, MA 01810
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Re: |
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Fourth Amended and Restated 1999 Employee Stock Purchase Plan
Third Amended and Restated International Employee Stock Purchase Plan |
Ladies and Gentlemen:
We have assisted in the preparation of a Registration Statement on Form S-8 (the Registration
Statement) to be filed with the Securities and Exchange Commission (the Commission) under the
Securities Act of 1933, as amended (the Securities Act), relating to an aggregate of 850,000
shares of common stock, no par value per share (the Shares), of MKS Instruments, Inc., a
Massachusetts corporation (the Company), issuable under the Companys Fourth Amended and Restated
1999 Employee Stock Purchase Plan and Third Amended and Restated International Employee Stock
Purchase Plan (collectively, the Plans).
We have examined the Certificate of Incorporation and By-Laws of the Company, each as amended
and restated to date, and originals, or copies certified to our satisfaction, of all pertinent
records of the meetings of the directors and stockholders of the Company, the Registration
Statement and such other documents relating to the Company as we have deemed material for the
purposes of this opinion.
In our examination of the foregoing documents, we have assumed the genuineness of all
signatures, the authenticity of all documents submitted to us as originals, the conformity to
original documents of all documents submitted to us as certified, photostatic or other copies, the
authenticity of the originals of any such documents and the legal competence of all signatories to
such documents.
We assume that the appropriate action will be taken, prior to the offer and sale of the Shares
in accordance with the Plans, to register and qualify the Shares for sale under all applicable
state securities or blue sky laws.
We express no opinion herein as to the laws of any state or jurisdiction other than the state
laws of The Commonwealth of Massachusetts and the federal laws of the United States of America.
It is understood that this opinion is to be used only in connection with the offer and sale of
the Shares while the Registration Statement is in effect.
Please note that we are opining only as to the matters expressly set forth herein, and no
opinion should be inferred as to any other matters.
Based on the foregoing, we are of the opinion that the Shares have been duly authorized for
issuance and, when the Shares are issued and paid for in accordance with the terms and conditions
of the Plans, the Shares will be validly issued, fully paid and nonassessable.
We hereby consent to the filing of this opinion with the Commission in connection with the
Registration Statement in accordance with the requirements of Item 601(b)(5) of Regulation S-K
under
the Securities Act. In giving such consent, we do not hereby admit that we are in the category of
persons whose consent is required under Section 7 of the Securities Act or the rules and
regulations of the Commission.
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Very truly yours,
WILMER CUTLER PICKERING HALE AND DORR LLP
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By: |
/s/ Mark G. Borden
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Mark G. Borden |
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exv23w2
Exhibit 23.2
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
We hereby consent to the incorporation by reference in this Registration Statement on Form S-8 of
our report dated February 27, 2009 relating to the financial statements, financial statement
schedule and the effectiveness of internal control over financial reporting, which appears in MKS
Instruments, Inc.s Annual Report on Form 10-K for the year ended December 31, 2008.
/s/ PricewaterhouseCoopers LLP
PricewaterhouseCoopers LLP
Boston, MA
August 7, 2009