SEC Form 4 · accession 0001209191-15-006184
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James A Rosenthal
Officer — Chief Operating Officer
Period of report
Jan 21, 2015
Accepted (ET)
Jan 23, 2015 · 4:19 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000895421
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 21, 2015 | A | 53,340 | $0.00 | A | 224,688 | D | |
| Common Stock | Jan 21, 2015 | F | 52,533 | $34.75 | D | 172,153 | D | |
| Common Stock | Jan 21, 2015 | G | 52,089 | $0.00 | D | 120,064 | D | |
| Common Stock | holding | — | — | — | 557 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 159,932 | I | By Revocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1.
- F2Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012 and January 21, 2014.
- F3The Reporting Person contributed shares to his revocable trust.