SEC Form 4 · accession 0001209191-15-020287
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Gorman
Officer — Chairman and CEO · Director
Period of report
Mar 2, 2015
Accepted (ET)
Mar 2, 2015 · 4:44 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 StockF2 | Mar 2, 2015 | A | 113,510 | $0.00 | A | 1,203,536 | D | |
| Common Stock | Mar 2, 2015 | F | 63,362 | $35.79 | D | 1,140,174 | D | |
| Common Stock | Mar 2, 2015 | G | 8,525 | $0.00 | D | 1,131,649 | D | |
| Common Stock | holding | — | — | — | 1,573 | I | By 401(k) Plan | |
| Common StockF2 | holding | — | — | — | 21,922 | I | By Grantor Retained Annuity Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation.
- F2Since the Reporting Person's last report, 13,636 shares of Common Stock previously reported as indirectly beneficially owned by grantor retained annuity trust were transferred back to the Reporting Person in satisfaction of an annuity payment.
- F3Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1).