Home > Insider Trading > Filing (0001209191-17-004811)

Filing Details

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
Common Stock	Acquisiton	2017-01-18	117,293	$0.00	1,346,700	No	4	A	Direct
Common Stock	Disposition	2017-01-18	42,328	$42.15	1,304,372	No	4	F	Direct
Common Stock	Acquisiton	2017-01-19	284,827	$22.98	1,589,199	No	4	M	Direct
Common Stock	Disposition	2017-01-19	284,827	$42.30	1,304,372	No	4	S	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership
No	4	A	Direct
No	4	F	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	2017-01-19	284,827	$0.00	284,827	$22.98

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0		2018-01-22	No	4	M	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	40,115	Indirect	By Grantor Retained Annuity Trust
Common Stock	1,630	Indirect	By 401(k) Plan

Footnotes

Restricted Stock Units granted in 2017 as part of 2016 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1.
Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014.
Shares sold in connection with an exercise of Employee Stock Options that expire on January 22, 2018.
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $41.96 to $42.57, 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 January 27, 2014. The Reporting Person continues to hold 424,731 vested Employee Stock Options with an exercise price of $30.01 that expire on January 21, 2018.