James P. Gorman - Jan 18, 2023 Form 4 Insider Report for MORGAN STANLEY (MS)

Role
Chairman and CEO, Director
Signature
/s/ Martin M. Cohen, Attorney-in-Fact
Stock symbol
MS
Transactions as of
Jan 18, 2023
Transactions value $
-$30,060,185
Form type
4
Date filed
1/20/2023, 03:20 PM
Previous filing
Nov 14, 2022
Next filing
Feb 24, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction MS Common Stock Award $0 +46.4K +3.37% $0.00 1.42M Jan 18, 2023 Direct F1
transaction MS Common Stock Tax liability -$5.83M -60K -4.22% $97.08 1.36M Jan 18, 2023 Direct F2
transaction MS Common Stock Sale -$20.8M -215K -15.81% $96.82 1.15M Jan 18, 2023 Direct F3
transaction MS Common Stock Sale -$3.38M -34.7K -3.02% $97.62 1.11M Jan 18, 2023 Direct F4
transaction MS Common Stock Gift $0 -1.55K -0.14% $0.00 1.11M Jan 18, 2023 Direct
holding MS Common Stock 1.9K Jan 18, 2023 By 401(k) Plan
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Restricted Stock Units granted in 2023 as part of 2022 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1.
F2 Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 17, 2020 and January 21, 2021.
F3 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $96.34 to $97.33, 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.
F4 The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $97.34 to $97.92, 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.