SEC Form 4 · accession 0001209191-16-124729
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
May 31, 2016
Accepted (ET)
Jun 1, 2016 · 5:31 pm EDT
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 StockF1 | May 31, 2016 | G | 3,627 | $0.00 | D | 1,363,605 | D | |
| Common Stock | holding | — | — | — | 1,611 | I | By 401(k) Plan | |
| Common StockF1 | holding | — | — | — | 40,115 | I | By Grantor Retained Annuity Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Since the Reporting Person's last report, 21,922 shares of Common Stock previously reported as indirectly beneficially owned by a grantor retained annuity trust (GRAT) were transferred back to the Reporting Person in satisfaction of an annuity payment, and the Reporting Person contributed 40,115 shares to a GRAT.