MS

SEC source: 0001209191-23-004251 · doc4.xml · nonDerivative · entry 5

PICK EDWARD N · CIK 0001801222 · Co-President/Head of IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 638,882.893

SEC source: 0001209191-23-004251 · doc4.xml · nonDerivative · entry 4

PICK EDWARD N · CIK 0001801222 · Co-President/Head of IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 639,964.893

F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $97.35 to $97.89, 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.

SEC source: 0001209191-23-004251 · doc4.xml · nonDerivative · entry 3

PICK EDWARD N · CIK 0001801222 · Co-President/Head of IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 665,210.893

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $96.35 to $97.32, 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.

SEC source: 0001209191-23-004251 · doc4.xml · nonDerivative · entry 2

PICK EDWARD N · CIK 0001801222 · Co-President/Head of IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 774,964.893

F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 17, 2020.

SEC source: 0001209191-23-004251 · doc4.xml · nonDerivative · entry 1

PICK EDWARD N · CIK 0001801222 · Co-President/Head of IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 804,988.893

F1 · kind: 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.

SEC source: 0001209191-23-004253 · doc4.xml · nonDerivative · entry 2

PRUZAN JONATHAN · CIK 0001640050 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,985.085

F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 17, 2020.

SEC source: 0001209191-23-004253 · doc4.xml · nonDerivative · entry 1

PRUZAN JONATHAN · CIK 0001640050 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,301.085

F1 · kind: 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.

SEC source: 0001209191-23-004255 · doc4.xml · nonDerivative · entry 2

SAPERSTEIN ANDREW M · CIK 0001362383 · Co-President/Head of WM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,995.631

F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 17, 2020.

SEC source: 0001209191-23-004255 · doc4.xml · nonDerivative · entry 1

SAPERSTEIN ANDREW M · CIK 0001362383 · Co-President/Head of WM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,296.631

F1 · kind: 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.

SEC source: 0001209191-23-004257 · doc4.xml · nonDerivative · entry 5

SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,530.941

SEC source: 0001209191-23-004257 · doc4.xml · nonDerivative · entry 4

SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,530.941

F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $97.57 to $97.86, 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.

SEC source: 0001209191-23-004257 · doc4.xml · nonDerivative · entry 3

SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,202.941

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $96.57 to $97.55, 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.

SEC source: 0001209191-23-004257 · doc4.xml · nonDerivative · entry 2

SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 393,440.941

F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 17, 2020.

SEC source: 0001209191-23-004257 · doc4.xml · nonDerivative · entry 1

SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 416,277.941

F1 · kind: 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.

SEC source: 0001209191-23-004260 · doc4.xml · nonDerivative · entry 2

YESHAYA SHARON · CIK 0001865034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,185.366

F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 17, 2020.

SEC source: 0001209191-23-004260 · doc4.xml · nonDerivative · entry 1

YESHAYA SHARON · CIK 0001865034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,595.366

F1 · kind: 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.

SEC source: 0001209191-23-004270 · doc4.xml · nonDerivative · entry 3

AKRAM RAJA · CIK 0001721897 · Deputy Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,558.107

SEC source: 0001209191-23-004270 · doc4.xml · nonDerivative · entry 2

AKRAM RAJA · CIK 0001721897 · Deputy Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,658.107

F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2021.

SEC source: 0001209191-23-004270 · doc4.xml · nonDerivative · entry 1

AKRAM RAJA · CIK 0001721897 · Deputy Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,598.107

F1 · kind: 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.

SEC source: 0001209191-22-059391 · doc4.xml · nonDerivative · entry 1

GLOCER THOMAS H · CIK 0001140799 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,925.333

F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-22-059393 · doc4.xml · nonDerivative · entry 1

LUCZO STEPHEN J · CIK 0001248260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,921.945

F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-22-059396 · doc4.xml · nonDerivative · entry 1

TRAQUINA PERRY M · CIK 0001228062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,905.512

F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-22-059395 · doc4.xml · nonDerivative · entry 1

SCHAPIRO MARY L · CIK 0001192486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,668.754

F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-22-056681 · doc4.xml · nonDerivative · entry 1

GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,374,075.755

SEC source: 0001209191-22-045595 · doc4.xml · nonDerivative · entry 1

SAPERSTEIN ANDREW M · CIK 0001362383 · Co-President/Head of WM

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 46,226

F1 · kind: As part of his estate planning, the Reporting Person transferred 46,226 shares of Common Stock (previously reported as direct ownership) to a limited liability company, of which he was the sole member and a manager (the "LLC"), and the shares of Common Stock are the sole asset. On August 10, 2022, the Reporting Person transferred 66% of his LLC membership interest to an irrevocable family trust (the "Trust"). The Reporting Person may be deemed to beneficially own the assets of the Trust, and as such, is continuing to report on this Form 4 all of the shares of Common Stock held by the LLC.

F1 · shares: As part of his estate planning, the Reporting Person transferred 46,226 shares of Common Stock (previously reported as direct ownership) to a limited liability company, of which he was the sole member and a manager (the "LLC"), and the shares of Common Stock are the sole asset. On August 10, 2022, the Reporting Person transferred 66% of his LLC membership interest to an irrevocable family trust (the "Trust"). The Reporting Person may be deemed to beneficially own the assets of the Trust, and as such, is continuing to report on this Form 4 all of the shares of Common Stock held by the LLC.

F2 · price: The LLC membership interest was transferred to the Trust at an aggregate price of $1,783,651, which is based on the average of the high and low share price of the Common Stock on August 10, 2022, discounted to reflect the illiquid nature of the membership interest in the LLC.

F3 · balance_after: The Reporting Person disclaims beneficial ownership of all shares held by the LLC and reported on this Form 4 except to the extent of the Reporting Person's pecuniary interests therein.

SEC source: 0001209191-22-042850 · doc4.xml · nonDerivative · entry 1

SAPERSTEIN ANDREW M · CIK 0001362383 · Co-President/Head of WM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · security: Each Depositary Share represents a 1/100th interest in a share of Morgan Stanley Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series N, $0.01 par value per share.

F2 · price: The Depositary Shares were sold for $92,651.72, which includes accrued dividends. The Depositary Shares have a liquidation preference of $1,000 per Depositary Share.

SEC source: 0001209191-22-045597 · doc4.xml · nonDerivative · entry 1

PICK EDWARD N · CIK 0001801222 · Co-President/Head of IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 739,380.427

SEC source: 0001209191-22-033966 · doc4.xml · nonDerivative · entry 2

DARLING ALISTAIR · CIK 0001662540 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,055.059

F2 · kind: Shares withheld to satisfy taxes upon the conversion of restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan on June 1, 2021.

SEC source: 0001209191-22-033966 · doc4.xml · nonDerivative · entry 1

DARLING ALISTAIR · CIK 0001662540 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,115.059

F1 · kind: 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.

SEC source: 0001209191-22-033985 · doc4.xml · nonDerivative · entry 2

GLOCER THOMAS H · CIK 0001140799 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,515.983

F2 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-22-033985 · doc4.xml · nonDerivative · entry 1

GLOCER THOMAS H · CIK 0001140799 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,573.709

F1 · kind: 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.

SEC source: 0001209191-22-033987 · doc4.xml · nonDerivative · entry 1

Herz Robert H · CIK 0001523753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,196.006

F1 · kind: 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.

SEC source: 0001209191-22-033992 · doc4.xml · nonDerivative · entry 1

James Erika H · CIK 0001753124 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,757.603

F1 · kind: 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.

SEC source: 0001209191-22-033995 · doc4.xml · nonDerivative · entry 1

Leibowitz Shelley B · CIK 0001626888 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,830.79

F1 · kind: 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.

SEC source: 0001209191-22-033998 · doc4.xml · nonDerivative · entry 2

LUCZO STEPHEN J · CIK 0001248260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,156.157

F2 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

F3 · balance_after: Since the Reporting Person's last report, 1,391 shares of Common Stock previously reported as directly beneficially owned were contributed to his revocable trust.

SEC source: 0001209191-22-033998 · doc4.xml · nonDerivative · entry 1

LUCZO STEPHEN J · CIK 0001248260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,508.344

F1 · kind: 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.

SEC source: 0001209191-22-034001 · doc4.xml · nonDerivative · entry 1

Miscik Judith A · CIK 0001555318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,900.693

F1 · kind: 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.

SEC source: 0001209191-22-034010 · doc4.xml · nonDerivative · entry 1

NALLY DENNIS M · CIK 0001685596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,179.233

F1 · kind: 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.

SEC source: 0001209191-22-034012 · doc4.xml · nonDerivative · entry 1

SCHAPIRO MARY L · CIK 0001192486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,754.462

F1 · kind: 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.

SEC source: 0001209191-22-034015 · doc4.xml · nonDerivative · entry 2

TRAQUINA PERRY M · CIK 0001228062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,035.038

F2 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-22-034015 · doc4.xml · nonDerivative · entry 1

TRAQUINA PERRY M · CIK 0001228062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,239.994

F1 · kind: 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.

SEC source: 0001209191-22-034022 · doc4.xml · nonDerivative · entry 1

WILKINS RAYFORD JR · CIK 0001184395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,984.136

F1 · kind: 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.

SEC source: 0001209191-22-029610 · doc4.xml · nonDerivative · entry 1

AKRAM RAJA · CIK 0001721897 · Deputy Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,635.905

F1 · kind: Shares withheld to satisfy taxes upon the conversion of stock units acquired through dividend reinvestment.

SEC source: 0001209191-22-028862 · doc4.xml · nonDerivative · entry 1

LUCZO STEPHEN J · CIK 0001248260 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Revocable Trust

Disclosed balance after: 179,449

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $79.249 to $79.31, 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.

SEC source: 0001209191-22-028869 · doc4.xml · nonDerivative · entry 2

PICK EDWARD N · CIK 0001801222 · Co-President/Head of IS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 737,421.228

SEC source: 0001209191-22-026671 · doc4.xml · nonDerivative · entry 1

AKRAM RAJA · CIK 0001721897 · Deputy Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,701.686

F1 · kind: Shares withheld to satisfy taxes upon conversion of previously granted Restricted Stock Units to shares of Common Stock.

SEC source: 0001209191-22-028871 · doc4.xml · nonDerivative · entry 1

YESHAYA SHARON · CIK 0001865034 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,524.909

F1 · shares: The Reporting Person controls the LLC, and certain of the Reporting Person's family members are the indirect economic beneficiaries of the shares held by the LLC.

SEC source: 0001209191-22-025514 · doc4.xml · nonDerivative · entry 3

CORLEY ELIZABETH · CIK 0001725898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,599.367

F3 · kind: Shares withheld to satisfy taxes upon the conversion of stock units granted to the Reporting Person under the Morgan Stanley Directors' Equity Capital Accumulation Plan as part of her director compensation.

SEC source: 0001209191-22-025514 · doc4.xml · nonDerivative · entry 2

CORLEY ELIZABETH · CIK 0001725898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,914.367

F2 · kind: Reflects the cancellation of unvested restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in connection with the Reporting Person's conclusion of service on the Morgan Stanley Board of Directors.

SEC source: 0001209191-22-025514 · doc4.xml · nonDerivative · entry 1

CORLEY ELIZABETH · CIK 0001725898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,144.26

F1 · kind: Reflects stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service from the 6-month anniversary of the 2021 annual meeting of shareholders through the Reporting Person's conclusion of service on the Morgan Stanley Board of Directors, effective April 21, 2022. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.