SEC Form 4 · accession 0001209191-16-149921
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas Colm Kelleher
Officer — President
Period of report
Nov 10, 2016
Accepted (ET)
Nov 14, 2016 · 6:17 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 | Nov 10, 2016 | M | 222,713 | $22.98 | A | 863,335 | D | |
| Common StockF1 | Nov 10, 2016 | S | 155,167 | $37.9213 | D | 708,168 | D | |
| Common StockF2 | Nov 10, 2016 | S | 64,127 | $38.7089 | D | 644,041 | 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)F3 | $22.98 | Nov 10, 2016 | M | 222,713 | D | — | Jan 22, 2018 | Common Stock | 222,713 | 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 $37.56 to $38.55, 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 ranges set forth in footnotes (1) and (2) of this Form 4.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $38.56 to $38.93, inclusive.
- F3Options vested and became exercisable in three equal annual installments beginning on January 27, 2014.