0001209191-17-004811.txt : 20170120 0001209191-17-004811.hdr.sgml : 20170120 20170120160359 ACCESSION NUMBER: 0001209191-17-004811 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170118 FILED AS OF DATE: 20170120 DATE AS OF CHANGE: 20170120 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GORMAN JAMES P CENTRAL INDEX KEY: 0001182328 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11758 FILM NUMBER: 17538588 MAIL ADDRESS: STREET 1: C/O MORGAN STANLEY STREET 2: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2017-01-18 0 0000895421 MORGAN STANLEY MS 0001182328 GORMAN JAMES P C/O MORGAN STANLEY 1585 BROADWAY NEW YORK NY 10036 1 1 0 0 Chairman and CEO Common Stock 2017-01-18 4 A 0 117292.85 0.00 A 1346700.441 D Common Stock 2017-01-18 4 F 0 42328 42.15 D 1304371.933 D Common Stock 2017-01-19 4 M 0 284827 22.98 A 1589198.933 D Common Stock 2017-01-19 4 S 0 284827 42.2966 D 1304371.933 D Common Stock 40115 I By Grantor Retained Annuity Trust Common Stock 1630.002 I By 401(k) Plan Employee Stock Option (Right to Buy) 22.98 2017-01-19 4 M 0 284827 0.00 D 2018-01-22 Common Stock 284827 0 D 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. /s/ Martin M. Cohen, Attorney-in-Fact 2017-01-20