Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MORGAN STANLEYMS · Entity 2815 | Chief Operating Officer | November 18, 2016 | November 21, 2016 |
| On Deck Capital, Inc.ONDK · Entity 145936 | Director | May 10, 2017 | May 11, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
MORGAN STANLEY
Report date November 18, 2016 · Filed November 21, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 172,909.654 |
Ending reported balance
After 2016-11-18 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2016-11-18 · Exercise / conversion · Acquired 121,351 · Balance 294,260.654 Row 2 · 2016-11-18 · Sale · Disposed 111,200 · Balance 183,060.654 F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.28 to $40.42, 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. Row 3 · 2016-11-18 · Gift · Disposed 10,151 · Balance 172,909.654 F2: The Reporting Person contributed shares to his revocable trust. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $30.01 · Expires 2018-01-21 | Direct | 0 |
Reported balance
After 2016-11-18 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2016-11-18 · Exercise / conversion · Disposed 121,351 · Balance 0 F3: Options vested and became exercisable in three equal annual installments beginning on February 2, 2012. |
| Common StockSEC Table I · non-derivative | IndirectBy Revocable Trust | 207,431 |
Reported balance
Holding disclosure · report date 2016-11-18 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 207,431 |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) Plan | 579.237 |
Reported balance
Holding disclosure · report date 2016-11-18 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 579.237 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.28 to $40.42, 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.
F2: The Reporting Person contributed shares to his revocable trust.
F3: Options vested and became exercisable in three equal annual installments beginning on February 2, 2012.
On Deck Capital, Inc.
Report date May 10, 2017 · Filed May 11, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 64,330 |
Reported balance
After 2017-05-10 transaction · row 1
1 source rowRow 1 · 2017-05-10 · Grant · Acquired 22,557 · Balance 64,330 F1: The reported shares are represented by restricted stock units which vest in full on the earlier of the date of the Issuer's next annual meeting of stockholders or May 10, 2018. |
| Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.99 · Expires 2027-05-09 | Direct | 37,736 |
Reported balance
After 2017-05-10 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2017-05-10 · Grant · Acquired 37,736 · Balance 37,736 F2: Shares subject to the option vest in full on the earlier of the date of the Issuer's next annual meeting of stockholders or May 10, 2018. |
Filing footnotes · ownership attribution and instrument terms
F1: The reported shares are represented by restricted stock units which vest in full on the earlier of the date of the Issuer's next annual meeting of stockholders or May 10, 2018.
F2: Shares subject to the option vest in full on the earlier of the date of the Issuer's next annual meeting of stockholders or May 10, 2018.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
IHS Markit Ltd.
Report date February 28, 2022 · Filed March 02, 2022
Section 16 reporting ended · disclosed 2022-03-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-02-28 transaction · row 1
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 1 · 2022-02-28 · Disposition to issuer · Disposed 20,355 · Balance 0 F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of November 29, 2020, as amended on January 20, 2021, by and among the issuer, S&P Global Inc. ("S&P Global") and Sapphire Subsidiary, Ltd. (the "Merger Agreement"). F2: Represents shares and deferred stock units. F3: Each common share was converted pursuant to the Merger Agreement into the right to receive 0.2838 (the "Exchange Ratio") fully paid and nonassessable shares of common stock, par value $1.00 per share, of S&P Global ("S&P Global Common Stock"), with cash payable in lieu of any fractional shares. Each equity award was converted pursuant to the Merger Agreement into an equivalent award in respect of S&P Global Common Stock based on the Exchange Ratio, with the same terms and conditions as those that applied immediately prior to the consummation of the merger, except that outstanding performance-based restricted stock units were converted based on target performance and all performance-vesting conditions lapsed with respect thereto. |
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2022-02-28 transaction · row 2
Sequence does not reconcile; account continuity is unresolved.
1 source rowRow 2 · 2022-02-28 · Disposition to issuer · Disposed 1,680 · Balance 0 F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of November 29, 2020, as amended on January 20, 2021, by and among the issuer, S&P Global Inc. ("S&P Global") and Sapphire Subsidiary, Ltd. (the "Merger Agreement"). F4: Represents shares underlying restricted stock units. F3: Each common share was converted pursuant to the Merger Agreement into the right to receive 0.2838 (the "Exchange Ratio") fully paid and nonassessable shares of common stock, par value $1.00 per share, of S&P Global ("S&P Global Common Stock"), with cash payable in lieu of any fractional shares. Each equity award was converted pursuant to the Merger Agreement into an equivalent award in respect of S&P Global Common Stock based on the Exchange Ratio, with the same terms and conditions as those that applied immediately prior to the consummation of the merger, except that outstanding performance-based restricted stock units were converted based on target performance and all performance-vesting conditions lapsed with respect thereto. |
Filing footnotes · ownership attribution and instrument terms
F1: Disposed of as a result of the merger pursuant to the previously announced Agreement and Plan of Merger, dated as of November 29, 2020, as amended on January 20, 2021, by and among the issuer, S&P Global Inc. ("S&P Global") and Sapphire Subsidiary, Ltd. (the "Merger Agreement").
F2: Represents shares and deferred stock units.
F3: Each common share was converted pursuant to the Merger Agreement into the right to receive 0.2838 (the "Exchange Ratio") fully paid and nonassessable shares of common stock, par value $1.00 per share, of S&P Global ("S&P Global Common Stock"), with cash payable in lieu of any fractional shares. Each equity award was converted pursuant to the Merger Agreement into an equivalent award in respect of S&P Global Common Stock based on the Exchange Ratio, with the same terms and conditions as those that applied immediately prior to the consummation of the merger, except that outstanding performance-based restricted stock units were converted based on target performance and all performance-vesting conditions lapsed with respect thereto.
F4: Represents shares underlying restricted stock units.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 25, 2016 Filed Jul 27, 2016 20:53 UTC | MORGAN STANLEY MS · Entity 2815 | Exercise / conversionCommon Stock | 100,000 | $22.98 | $2,298,000.00 |
DisclosureSEC source: 0001209191-16-134111 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,879.647 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| February 26, 2016 Filed Mar 1, 2016 21:48 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 50,000 | $25.13 | $1,256,350.00 |
DisclosureSEC source: 0001209191-16-104007 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 170,197 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.04 to $25.24, 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. Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:07 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 71,670 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102823 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,905.432 F3 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:07 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 90,550 | $23.71 | $2,146,940.50 |
DisclosureSEC source: 0001209191-16-102823 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,575.432 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 31, 2013 and earned on February 25, 2016 as described in footnote (1). Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:07 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 162,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102823 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,125.432 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 31, 2013. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:09 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 13,143 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093099 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,833.592 F3 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:09 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 9,434 | $26.26 | $247,736.84 |
DisclosureSEC source: 0001209191-16-093099 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,976.592 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:09 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 69,530.74 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093099 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,410.924 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| July 31, 2015 Filed Aug 4, 2015 17:11 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 12,000 | $39.25 | $471,000.00 |
DisclosureSEC source: 0001209191-15-063718 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 135,384 Read SEC document |
| April 21, 2015 Filed Apr 21, 2015 17:17 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 50,030 | $37.10 | $1,856,113.00 |
DisclosureSEC source: 0001209191-15-035346 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 147,384 Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:54 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 37,482 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020313 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,389.492 F3 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:54 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 47,358 | $35.79 | $1,694,942.82 |
DisclosureSEC source: 0001209191-15-020313 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,871.492 F2 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1). Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:54 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 84,840 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020313 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,229.492 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:19 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 52,089 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006184 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,064.221 F3 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:19 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 52,533 | $34.75 | $1,825,521.75 |
DisclosureSEC source: 0001209191-15-006184 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,153.221 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:19 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 53,339.74 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006184 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,687.689 F1 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| July 18, 2014 Filed Jul 18, 2014 20:38 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 30,800 | $32.50 | $1,001,000.00 |
DisclosureSEC source: 0001209191-14-048110 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 107,843 Read SEC document |
| February 12, 2014 Filed Feb 13, 2014 22:07 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 33,500 | $30.18 | $1,010,896.00 |
DisclosureSEC source: 0001209191-14-010466 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 138,643 Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:48 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 29,069 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 5 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,483.975 F2 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:48 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 34,622 | $29.99 | $1,038,140.67 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 4 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,552.975 F4 · kind: Shares withheld to satisfy taxes upon the conversion of (a) PSUs awarded on January 21, 2011 and earned on January 28, 2014 as described in footnote (3) and (b) RSUs granted on January 21, 2011. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:48 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 24,046 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,174.975 F3 · kind: Shares earned based on the Company's achievement of certain pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 21, 2011 as part of 2010 year-end compensation. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:48 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 42,603 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,129.725 F2 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:48 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 38,883 | $30.04 | $1,167,850.91 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,732.725 F1 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") granted on January 20, 2012. Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:07 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 87,997.63 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004599 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,616.058 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| July 31, 2013 Filed Aug 2, 2013 21:10 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 12,850 | $27.32 | $351,062.00 |
DisclosureSEC source: 0001209191-13-039021 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 100,471 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $27.30 to $27.34, 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. Read SEC document |
| May 09, 2013 Filed Aug 2, 2013 21:10 UTC | MORGAN STANLEY MS · Entity 2815 | GiftCommon Stock | 113,321 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-13-039021 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,902.172 F1 · kind: The Reporting Person contributed 113,321 shares of Common Stock to his revocable trust. Read SEC document |
| February 01, 2013 Filed Feb 6, 2013 00:14 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 31,071 | $23.36 | $725,663.21 |
DisclosureSEC source: 0001209191-13-006641 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 314,390.492 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on January 21, 2010 and January 21, 2011 to the Reporting Person. Read SEC document |
| January 22, 2013 Filed Jan 24, 2013 21:06 UTC | MORGAN STANLEY MS · Entity 2815 | GrantEmployee Stock Option (Right to Buy) · Derivative | 374,009 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-13-004227 · doc4.xml · derivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 374,009 Underlying: Common Stock · 374,009 shares Expires 2018-01-22 F1 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $2,025,000. Options will vest and become exercisable in three equal annual installments beginning on January 27, 2014. Read SEC document |
| March 05, 2012 Filed Mar 6, 2012 23:44 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 18,156 | $18.48 | $335,432.10 |
DisclosureSEC source: 0001209191-12-016263 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,070.552 F1 · kind: Shares withheld to satisfy taxes upon conversion of previously granted restricted stock units to shares of Common Stock. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:41 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 159,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004682 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,622.744 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:35 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 21,018 | $18.12 | $380,846.16 |
DisclosureSEC source: 0001209191-12-005212 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,604.744 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on December 18, 2008 and January 21, 2010 to the Reporting Person. Read SEC document |
| July 22, 2011 Filed Jul 22, 2011 20:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 5,548 | $23.72 | $131,598.56 |
DisclosureSEC source: 0001209191-11-040627 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,175 Read SEC document |
| July 22, 2011 Filed Jul 22, 2011 20:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 2,452 | $23.73 | $58,185.96 |
DisclosureSEC source: 0001209191-11-040627 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,723 Read SEC document |
| May 20, 2011 Filed May 20, 2011 18:48 UTC | MORGAN STANLEY MS · Entity 2815 | Tax withholdingCommon Stock | 35,304 | $24.13 | $851,709.00 |
DisclosureSEC source: 0001209191-11-030191 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,175 Read SEC document |
| February 15, 2011 Filed Feb 16, 2011 16:51 UTC | MORGAN STANLEY MS · Entity 2815 | OtherCommon Stock | 1,311.1 | $30.32 | $39,752.55 |
DisclosureSEC source: 0001209191-11-010201 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 0 F1 · kind: The Reporting Person transferred his balance held in the Morgan Stanley Stock Fund to other funds in the Morgan Stanley 401(k) Plan. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:17 UTC | MORGAN STANLEY MS · Entity 2815 | GrantEmployee Stock Option (Right to Buy) · Derivative | 121,351 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004456 · doc4.xml · derivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,351 Underlying: Common Stock · 121,351 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $1 million. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:17 UTC | MORGAN STANLEY MS · Entity 2815 | GrantCommon Stock | 76,949 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004456 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,479 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.