SEC Form 4 · accession 0001209191-16-150498
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jeffrey S Brodsky
Officer — Chief Human Resources Officer
Period of report
Nov 14, 2016
Accepted (ET)
Nov 16, 2016 · 4:10 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 14, 2016 | M | 60,675 | $30.01 | A | 175,012 | D | |
| Common StockF1 | Nov 14, 2016 | S | 60,675 | $39.1183 | D | 114,337 | D | |
| Common Stock | holding | — | — | — | 3,620 | 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)F2 | $30.01 | Nov 14, 2016 | M | 60,675 | D | — | Jan 21, 2018 | Common Stock | 60,675 | 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 $39.03 to $39.33, 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 February 2, 2012.