SEC Form 4 · accession 0001209191-16-147425
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
Oct 27, 2016
Accepted (ET)
Oct 31, 2016 · 4:07 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 | Oct 27, 2016 | M | 74,009 | $22.98 | A | 246,043 | D | |
| Common StockF1 | Oct 27, 2016 | S | 66,500 | $33.8944 | D | 179,543 | D | |
| Common Stock | Oct 27, 2016 | G | 7,509 | $0.00 | D | 172,034 | D | |
| Common Stock | holding | — | — | — | 197,280 | I | By Revocable Trust | |
| Common Stock | holding | — | — | — | 576 | I | By 401(k) Plan |
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)F3 | $22.98 | Oct 27, 2016 | M | 74,009 | D | — | Jan 22, 2018 | Common Stock | 74,009 | 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 $33.89 to $33.91, 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.
- F2The Reporting Person contributed shares to his revocable trust.
- F3Options vested and became exercisable in three equal annual installments beginning on January 27, 2014.