SEC Form 4 · accession 0001209191-17-017403
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
James P Gorman
Officer — Chairman and CEO · Director
Period of report
Mar 1, 2017
Accepted (ET)
Mar 3, 2017 · 4:04 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 19, 2017 | G | 6,590 | $0.00 | D | 1,297,782 | D | |
| Common Stock | Mar 1, 2017 | A | 184,273 | $0.00 | A | 1,483,941 | D | |
| Common StockF3 | Mar 1, 2017 | F | 102,861 | $45.67 | D | 1,390,502 | D | |
| Common StockF3 | holding | — | — | — | 30,693 | I | By Grantor Retained Annuity Trust | |
| Common Stock | holding | — | — | — | 1,636 | I | By 401(k) Plan |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 21, 2014.
- F2Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 21, 2014 and earned on March 1, 2017 as described in footnote (1).
- F3Since the Reporting Person's last report, 9,422 shares of Common Stock previously reported as indirectly beneficially owned by a grantor retained annuity trust were transferred back to the Reporting Person in satisfaction of an annuity payment.