SEC Form 4 · accession 0001209191-16-151424
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
Nov 18, 2016
Accepted (ET)
Nov 21, 2016 · 4:06 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 18, 2016 | M | 121,351 | $30.01 | A | 294,261 | D | |
| Common StockF1 | Nov 18, 2016 | S | 111,200 | $40.3366 | D | 183,061 | D | |
| Common Stock | Nov 18, 2016 | G | 10,151 | $0.00 | D | 172,910 | D | |
| Common Stock | holding | — | — | — | 207,431 | I | By Revocable Trust | |
| Common Stock | holding | — | — | — | 579 | 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 | $30.01 | Nov 18, 2016 | M | 121,351 | D | — | Jan 21, 2018 | Common Stock | 121,351 | 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 $40.28 to $40.42, 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 February 2, 2012.