SEC Form 4 · accession 0001209191-16-093105
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Keishi Hotsuki
Officer — Chief Risk Officer
Period of report
Jan 20, 2016
Accepted (ET)
Jan 22, 2016 · 4:12 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 | 39,753 | $0.00 | A | 199,409 | D | |
| Common Stock | Jan 20, 2016 | F | 5,924 | $26.26 | D | 193,484 | D |
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.