SEC Form 4 · accession 0001209191-16-137764
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
Aug 17, 2016
Accepted (ET)
Aug 18, 2016 · 4:14 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 Stock | Aug 17, 2016 | M | 230,870 | $22.98 | A | 455,191 | D | |
| Common StockF1 | Aug 17, 2016 | S | 230,870 | $30.2665 | D | 224,321 | D | |
| Common Stock | Aug 17, 2016 | S | 15,582 | $30.25 | D | 208,739 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F2 | $22.98 | Aug 17, 2016 | M | 230,870 | D | — | Jan 22, 2018 | Common Stock | 230,870 | 0 | D |
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.25 to $30.37, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.
- F2Options vested and became exercisable in three equal annual installments beginning on January 27, 2014.