SEC Form 4 · accession 0001209191-18-014982
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 27, 2018
Accepted (ET)
Mar 1, 2018 · 4:14 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 16, 2018 | G | 454 | $0.00 | D | 1,236,519 | D | |
| Common Stock | Feb 20, 2018 | G | 3,640 | $0.00 | D | 1,232,879 | D | |
| Common StockF2 | Feb 27, 2018 | A | 193,147 | $0.00 | A | 1,383,483 | D | |
| Common Stock | Feb 27, 2018 | F | 102,792 | $57.01 | D | 1,280,691 | D | |
| Common StockF2 | Feb 28, 2018 | G | 20,836 | $0.00 | D | 52,400 | I | By Grantor Retained Annuity Trust |
| Common Stock | holding | — | — | — | 1,667 | 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, 2015.
- F2Since the Reporting Person's last report, 9,857 shares of Common Stock previously reported as indirectly beneficially owned by a grantor retained annuity trust ("GRAT") were transferred back to the Reporting Person in satisfaction of an annuity payment and 52,400 shares previously reported as directly beneficially owned were transferred to a GRAT.
- F3Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 21, 2015 and earned on February 27, 2018 as described in footnote (1).