SEC Form 4 · accession 0001209191-17-004820
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Eric F Grossman
Officer — Chief Legal Officer
Period of report
Jan 18, 2017
Accepted (ET)
Jan 20, 2017 · 4:09 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 | 32,863 | $0.00 | A | 242,100 | D | |
| Common Stock | Jan 18, 2017 | F | 18,191 | $42.15 | D | 223,909 | D | |
| Common StockF3 | Jan 19, 2017 | S | 17,562 | $42.136 | D | 206,347 | D |
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.
- F3The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42.12 to $42.16, 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.