SEC Form 4 · accession 0001209191-17-047297
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
Aug 1, 2017
Accepted (ET)
Aug 3, 2017 · 4:06 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 | Aug 1, 2017 | M | 212,366 | $30.01 | A | 1,602,609 | D | |
| Common StockF1,F2 | Aug 1, 2017 | S | 212,366 | $47.2628 | D | 1,390,243 | D | |
| Common Stock | Aug 1, 2017 | G | 4,229 | $0.00 | D | 1,386,014 | D | |
| Common Stock | holding | — | — | — | 1,643 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 30,693 | I | By Grantor Retained Annuity Trust |
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 | Aug 1, 2017 | M | 212,366 | D | — | Jan 21, 2018 | Common Stock | 212,366 | 0 | 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 $47.20 to $47.35, 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.