0001209191-21-004887.txt : 20210122 0001209191-21-004887.hdr.sgml : 20210122 20210122163707 ACCESSION NUMBER: 0001209191-21-004887 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210121 FILED AS OF DATE: 20210122 DATE AS OF CHANGE: 20210122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GROSSMAN ERIC F CENTRAL INDEX KEY: 0001539492 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11758 FILM NUMBER: 21546304 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 X0306 4 2021-01-21 0 0000895421 MORGAN STANLEY MS 0001539492 GROSSMAN ERIC F C/O MORGAN STANLEY 1585 BROADWAY NEW YORK NY 10036 0 1 0 0 Chief Legal Officer Common Stock 2021-01-21 4 A 0 54263.84 0.00 A 306337.153 D Common Stock 2021-01-21 4 F 0 12676 74.84 D 293661.153 D Common Stock 2021-01-21 4 S 0 29000 74.7437 D 264661.153 D Restricted Stock Units granted in 2021 as part of 2020 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 19, 2018. The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $74.655 to $74.87, 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. /s/ Martin M. Cohen, Attorney-in-Fact 2021-01-22