SEC Form 4 · accession 0001209191-18-004566
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
Jan 19, 2018
Accepted (ET)
Jan 19, 2018 · 4:34 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, 2018 | A | 20,792 | $0.00 | A | 1,411,482 | D | |
| Common Stock | Jan 19, 2018 | F | 69,770 | $55.84 | D | 1,341,712 | D | |
| Common Stock | holding | — | — | — | 1,660 | I | By 401(k) Plan | |
| Common Stock | holding | — | — | — | 30,693 | I | By Grantor Retained Annuity Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Restricted Stock Units granted in 2018 as part of 2017 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, 2015.