SEC Form 4 · accession 0000950103-15-000766
MSCI Inc. · MSCI
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry A Fernandez
Officer — Chairman, CEO and President · Director
Period of report
Jan 28, 2015
Accepted (ET)
Jan 30, 2015 · 6:55 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001408198
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2,F3,F4 | Jan 28, 2015 | F | 8,008 | $53.89 | D | 1,070,513 | D | |
| Common StockF4,F6,F5 | Jan 30, 2015 | G | 13,182 | $0.00 | D | 0 | I | By 2010 GRAT |
| Common StockF6 | Jan 30, 2015 | G | 13,182 | $0.00 | A | 226,723 | I | By Fernandez 2007 Children's Trust |
| Common StockF3,F5 | holding | — | — | — | 122,651 | I | By 2012 GRAT | |
| Common Stock | holding | — | — | — | 7,900 | I | By Son | |
| Common Stock | holding | — | — | — | 3,625 | I | By Son | |
| Common Stock | holding | — | — | — | 730 | I | By Daughter |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares reacquired by MSCI Inc. to satisfy tax withholding obligations in connection with the vesting and conversion to shares of 14,975 restricted stock units granted to the Reporting Person on January 28, 2014.
- F2Amount excludes charitable gifts to educational institutions on behalf of the Reporting Person effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 5, 2014. The gifts consisted of 20,300 shares in the aggregate each transferred on August 29, 2014.
- F3Amount reflects the distribution and transfer on January 30, 2015 of 39,162 shares as an annuity payment from the 2012 GRAT to the Reporting Person which changed the Reporting Person's beneficial ownership of such shares from indirect to direct ownership.
- F4Amount reflects the distribution and transfer on January 30, 2015 of 158,167 shares as an annuity payment from the 2010 GRAT to the Reporting Person which changed the Reporting Person's beneficial ownership of such shares from indirect to direct ownership.
- F5The Reporting Person is trustee and sole annuitant.
- F6Amount reflects the distribution and transfer on January 30, 2015 of 13,182 shares from the 2010 GRAT to the Fernandez 2007 Children's Trust.