SEC Form 4 · accession 0001209191-16-093099
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 20, 2016
Accepted (ET)
Jan 22, 2016 · 4:09 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 20, 2016 | A | 69,531 | $0.00 | A | 191,411 | D | |
| Common Stock | Jan 20, 2016 | F | 9,434 | $26.26 | D | 181,977 | D | |
| Common Stock | Jan 20, 2016 | G | 13,143 | $0.00 | D | 168,834 | D | |
| Common Stock | holding | — | — | — | 148,527 | I | By Revocable Trust | |
| Common Stock | holding | — | — | — | 566 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock Units granted in 2016 as part of 2015 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 21, 2014.
- F3The Reporting Person contributed shares to his revocable trust.