SEC Form 4 · accession 0001209191-18-010823
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
Feb 15, 2018
Accepted (ET)
Feb 16, 2018 · 4:16 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 | Feb 14, 2018 | G | 6,244 | $0.00 | D | 1,335,468 | D | |
| Common StockF1 | Feb 15, 2018 | S | 100,000 | $55.3381 | D | 1,235,468 | 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
- F1The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $55.16 to $55.60, 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.