Filing Details

Accession Number:
0001209191-16-146744
Form Type:
4
Zero Holdings:
No
Publication Time:
2016-10-24 16:34:21
Reporting Period:
2016-10-20
Filing Date:
2016-10-24
Accepted Time:
2016-10-24 16:34:21
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
1509446 A James Rosenthal C/O Morgan Stanley
1585 Broadway
New York NY 10036
Chief Operating Officer No 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 Acquisiton 2016-10-20 200,000 $22.98 372,034 No 4 M Direct
Common Stock Disposition 2016-10-20 189,000 $32.85 183,034 No 4 S Direct
Common Stock Disposition 2016-10-20 11,000 $0.00 172,034 No 5 G Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 M Direct
No 4 S Direct
No 5 G 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 2016-10-20 200,000 $0.00 200,000 $22.98
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
74,009 2018-01-22 No 4 M Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 189,771 Indirect By Revocable Trust
Common Stock 576 Indirect By 401(k) Plan
Footnotes
  1. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.78 to $32.95, 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.
  2. The Reporting Person contributed shares to his revocable trust.
  3. Options vested and became exercisable in three equal annual installments beginning on January 27, 2014.