Filing Details
- Accession Number:
- 0001209191-17-031884
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-05-12 16:07:43
- Reporting Period:
- 2017-05-10
- Filing Date:
- 2017-05-12
- Accepted Time:
- 2017-05-12 16:07:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 895421 | Morgan Stanley | MS | Security Brokers, Dealers & Flotation Companies (6211) | 363145972 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1182328 | P James Gorman | C/O Morgan Stanley 1585 Broadway New York NY 10036 | Chairman And Ceo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Disposition | 2017-04-26 | 1,124 | $0.00 | 1,389,378 | No | 5 | G | Direct | |
| Common Stock | Disposition | 2017-05-10 | 1,165 | $0.00 | 1,388,213 | No | 5 | G | Direct | |
| Common Stock | Acquisiton | 2017-05-10 | 212,365 | $30.01 | 1,600,578 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2017-05-10 | 212,365 | $42.93 | 1,388,213 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | G | Direct | |
| No | 5 | G | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Employee Stock Option (Right to Buy) | Disposition | 2017-05-10 | 212,365 | $0.00 | 212,365 | $30.01 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 212,366 | 2018-01-21 | No | 4 | M | Direct |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 30,693 | Indirect | By Grantor Retained Annuity Trust |
| Common Stock | 1,636 | Indirect | By 401(k) Plan |
Footnotes
- Shares sold in connection with an exercise of Employee Stock Options that expire on January 21, 2018.
- The 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.
- Options 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.
Billionaire Hedge Funds
