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Filing Details

Accession Number:: 0001209191-19-050312
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-09-20 16:06:50
Reporting Period:: 2014-04-23

Accepted Time:: 2019-09-20 16:06:50
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
895421	Morgan Stanley	MS	Commercial Banks, Nec (6029)	0331

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
67088	Mitsubishi Ufj Financial Group Inc	7-1, Marunouchi 2-Chome, Chiyoda-Ku Tokyo M0 100-8330		No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-04-23	125,000	$1.01	125,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-05-06	125,000	$1.02	0	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-08-21	210,000	$1.02	210,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-08-21	210,000	$1.06	0	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-09-04	210,000	$1.02	210,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-09-04	210,000	$1.06	0	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-09-05	140,000	$1.01	140,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-09-05	140,000	$1.05	0	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-09-15	49,000	$1.01	49,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-09-16	100,000	$1.00	149,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-09-18	70,000	$1.01	79,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-09-18	70,000	$1.05	149,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-09-24	20,000	$1.00	169,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-09-25	250,000	$1.00	81,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-09-25	65,000	$1.00	16,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-09-26	280,000	$1.00	296,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-09-26	280,000	$1.04	16,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-10-09	140,000	$1.01	156,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-10-09	140,000	$1.05	16,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-10-10	70,000	$1.01	86,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-10-10	135,000	$1.01	49,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-10-10	70,000	$1.05	119,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-10-17	70,000	$1.00	49,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-10-17	70,000	$1.04	119,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-10-22	150,000	$1.01	31,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-10-24	70,000	$1.01	39,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-11-07	140,000	$1.00	101,000	No	4	P	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Disposition	2014-11-07	140,000	$1.04	39,000	No	4	S	Indirect	Through Subsidiary
Non-Cumulative Preferred Stock, Series H	Acquisiton	2014-11-18	39,000	$1.01	0	No	4	P	Indirect	Through Subsidiary

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary
No	4	S	Indirect	Through Subsidiary
No	4	P	Indirect	Through Subsidiary

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-04-03	130,000	$0.00	130,000	$53.17
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-05-03	130,000	$0.00	130,000	$51.08
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-05-03	130,000	$0.00	130,000	$51.08
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-06-04	130,000	$0.00	130,000	$51.55
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-06-04	130,000	$0.00	130,000	$51.55
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-07-05	130,000	$0.00	130,000	$46.70
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-07-05	130,000	$0.00	130,000	$46.70
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-08-06	130,000	$0.00	130,000	$49.99
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-08-06	130,000	$0.00	130,000	$49.99
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-09-04	130,000	$0.00	130,000	$48.71
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-09-04	130,000	$0.00	130,000	$48.71
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-10-04	130,000	$0.00	130,000	$47.27
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-10-04	130,000	$0.00	130,000	$47.27
Common Shares	Call Option (obligation to sell)	Disposition	2018-11-05	7,000	$242.00	700,000	$46.00
Common Shares	Put Option(right to sell)	Acquisiton	2018-11-05	7,000	$217.00	700,000	$46.00
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-11-05	130,000	$0.00	130,000	$45.82
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-11-09	38,000	$0.00	38,000	$45.73
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-11-19	38,000	$0.00	38,000	$44.41
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-11-19	38,000	$0.00	38,000	$44.41
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-11-27	38,000	$0.00	38,000	$44.05
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Disposition	2018-11-27	38,000	$0.00	38,000	$44.05
Common Shares	Total Rate of Return Basket Swap (put equivalent position)	Acquisiton	2018-12-17	38,000	$0.00	38,000	$39.60

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
130,000		2018-06-04	Yes	4	J	Indirect
130,000		2018-06-04	Yes	4	J	Indirect
130,000		2018-06-04	Yes	4	J	Indirect
130,000		2018-06-04	Yes	4	J	Indirect
130,000		2018-09-04	Yes	4	J	Indirect
130,000		2018-09-04	Yes	4	J	Indirect
130,000		2018-09-04	Yes	4	J	Indirect
130,000		2018-09-04	Yes	4	J	Indirect
130,000		2018-09-04	Yes	4	J	Indirect
130,000			Yes	4	J	Indirect
130,000		2018-12-04	Yes	4	J	Indirect
130,000		2018-12-04	Yes	4	J	Indirect
130,000		2018-12-04	Yes	4	J	Indirect
7,000	2018-11-05	2019-01-18	No	4	S	Indirect
7,000	2018-11-05	2019-01-18	No	4	P	Indirect
130,000			Yes	4	J	Indirect
38,000		2018-12-17	Yes	4	J	Indirect
38,000		2018-12-17	Yes	4	J	Indirect
38,000		2018-12-17	Yes	4	J	Indirect
38,000		2018-12-17	Yes	4	J	Indirect
38,000		2018-12-17	Yes	4	J	Indirect
38,000			Yes	4	J	Indirect

Footnotes

By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization.
Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately.
Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries.
The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.
The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so.
This number is negative.
On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16.
Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16.
Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16.
The expiration of this call option was previously reported by the Reporting Person.
Each option contract represents 100 Common Shares.
The exercise of this put option was previously reported by the Reporting Person.
On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16.