Stephen J. Luczo - Apr 17, 2020 Form 4/A - Amendment Insider Report for MORGAN STANLEY (MS)

Role
Director
Signature
/s/ Martin M. Cohen, Attorney-in-Fact
Stock symbol
MS
Transactions as of
Apr 17, 2020
Transactions value $
$1,119,229
Form type
4/A - Amendment
Date filed
6/3/2021, 05:46 PM
Date Of Original Report
Apr 20, 2020
Next filing
May 24, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MS Common Stock Purchase $1.12M +29K +23.12% $38.59 154K Apr 17, 2020 By Revocable Trust F1, F2, F3, F4
transaction MS Common Stock Award $0 +2.7K +60.54% $0.00 7.17K Jun 1, 2021 Direct F3, F5
holding MS Common Stock 50K Apr 17, 2020 By Grantor Retained Annuity Trust F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $38.4298 to $38.68, 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 purchased at each separate price within the range set forth in this footnote.
F2 This report amends the Form 4 filed by the reporting person on April 20, 2020 (the Original Form 4) to correct the number of shares purchased on April 17, 2020 and the weighted average price of such shares, which initially were inadvertently reported as 19,000 shares and $38.6774, respectively. This Form 4 is deemed to amend the Original Form 4 and all Form 4s filed between the date thereof and the date of this Form 4 to add 10,000 shares to the Reporting Person's total ownership listed in Column 5, Amount of Securities Beneficially Owned Following Reported Transaction(s).
F3 Since the Reporting Person's last report, 4,449 shares of Common Stock previously reported as directly beneficially owned were contributed to his revocable trust.
F4 Since the Reporting Person's last report, 50,000 shares of Common Stock previously reported as indirectly beneficially owned by his revocable trust were contributed to a grantor retained annuity trust.
F5 Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.