SEC Form 4 · accession 0001209191-17-031884
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
May 10, 2017
Accepted (ET)
May 12, 2017 · 4:07 pm EDT
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 | Apr 26, 2017 | G | 1,124 | $0.00 | D | 1,389,378 | D | |
| Common Stock | May 10, 2017 | G | 1,165 | $0.00 | D | 1,388,213 | D | |
| Common Stock | May 10, 2017 | M | 212,365 | $30.01 | A | 1,600,578 | D | |
| Common StockF1,F2 | May 10, 2017 | S | 212,365 | $42.9333 | D | 1,388,213 | D | |
| Common Stock | holding | — | — | — | 30,693 | I | By Grantor Retained Annuity Trust | |
| Common Stock | holding | — | — | — | 1,636 | 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 | May 10, 2017 | M | 212,365 | D | — | Jan 21, 2018 | Common Stock | 212,365 | 212,366 | D |
Explanation of responses
- F1Shares sold in connection with an exercise of Employee Stock Options that expire on January 21, 2018.
- F2The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42.80 to $43.185, 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.
- F3Options vested and became exercisable in three equal annual installments beginning on February 2, 2012. The Reporting Person continues to hold 212,366 vested Employee Stock Options with an exercise price of $30.01 that expire on January 21, 2018.