SEC Form 4 · accession 0001209191-17-004818
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Daniel A Simkowitz
Officer — Head of Investment Management
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 4:08 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 | Jan 18, 2017 | A | 38,726 | $0.00 | A | 302,848 | D | |
| Common Stock | Jan 18, 2017 | F | 30,887 | $42.15 | D | 271,961 | D | |
| Common Stock | holding | — | — | — | 1,397 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock Units granted in 2017 as part of 2016 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1.
- F2Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014.