-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, W1lGLKbTIgXnaVbi+MIgeECjhoir8/2jW+F09Yauofc9iY2OsXFmUulEsvBXpkKi YeEEvUdRNFX7sqQh90Z/IA== 0001209191-09-051974.txt : 20091110 0001209191-09-051974.hdr.sgml : 20091110 20091110173821 ACCESSION NUMBER: 0001209191-09-051974 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091109 FILED AS OF DATE: 20091110 DATE AS OF CHANGE: 20091110 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MACK JOHN J CENTRAL INDEX KEY: 0001272147 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11758 FILM NUMBER: 091173087 MAIL ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-761-4000 MAIL ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO DATE OF NAME CHANGE: 19980326 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-11-09 0 0000895421 MORGAN STANLEY MS 0001272147 MACK JOHN J 1585 BROADWAY NEW YORK NY 10036 1 1 0 0 Chairman of the Board and CEO Common Stock 2009-11-09 4 J 0 79000 33.4425 A 2419702.64 D Common Stock 669.01 I By 401(k) Plan Common Stock 536400 I By Grantor Retained Annuity Trust On November 9, 2009, the Reporting Person substituted assets of equal value into a grantor retained annuity trust in exchange for 79,000 shares of Common Stock. Since the Reporting Person's last report, 700,000 shares previously reported as directly beneficially owned were contributed to a grantor retained annuity trust, and 84,600 shares were transferred back to the Reporting Person in satisfaction of an annuity payment. Reflects the application of a mandatory anti-dilution adjustment to the Reporting Person's Restricted Stock Units as a result of the issuer's spin-off of Discover Financial Services on June 30, 2007. /s/ Charlene R. Herzer, Attorney-in-Fact 2009-11-10 -----END PRIVACY-ENHANCED MESSAGE-----