-----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, AhFgsb19GMrB7G8f66k/vEpMIK5Pjl4dfidVeamzd8d9qwR/rF2/X6TTz68ahSA4 Jb+IsFzVRubKP9j88FP+sw== 0001209191-11-004456.txt : 20110121 0001209191-11-004456.hdr.sgml : 20110121 20110121171703 ACCESSION NUMBER: 0001209191-11-004456 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110121 FILED AS OF DATE: 20110121 DATE AS OF CHANGE: 20110121 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENTHAL JAMES A CENTRAL INDEX KEY: 0001509446 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11758 FILM NUMBER: 11542060 MAIL ADDRESS: STREET 1: C/O MORGAN STANLEY STREET 2: 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: 1231 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 2011-01-21 0 0000895421 MORGAN STANLEY MS 0001509446 ROSENTHAL JAMES A C/O MORGAN STANLEY 1585 BROADWAY NEW YORK NY 10036 0 1 0 0 Chief Operating Officer Common Stock 2011-01-21 4 A 0 76949 0.00 A 264479 D Common Stock 1101.898 I By 401(k) Plan Employee Stock Option (Right to Buy) 30.01 2011-01-21 4 A 0 121351 0.00 A 2018-01-21 Common Stock 121351 121351 D Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. The Black-Scholes value of the Stock Option award is $1 million. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. /s/ Charlene R. Herzer, Agent and Attorney-in-Fact 2011-01-21 -----END PRIVACY-ENHANCED MESSAGE-----