Grossman Eric F's Form 4 filing
Morgan Stanley (MS) · filed Jan 20, 2023
- Accession no.
- 0001209191-23-004248
- Filed
- Jan 20, 2023
- Trade date
- Jan 18, 2023
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 3 non-derivative transactions. Open-market sales total $11.7M. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Grossman Eric FCIK 0001539492 | Officer (Chief Legal/Admin Officer) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jan 18, 2023 | Common Stock | AGrant or awardAcquired | +40,340.33 | $0.00 | $0 | 370,955.05 | Direct | |
| Jan 18, 2023 | Common Stock | FTax withholdingDisposed | −15,721 | $97.08 | −$1,526,194.68 | 355,234.05 | Direct | |
| Jan 18, 2023 | Common Stock | SSaleDisposed | −120,000 | $97.11F3 | −$11,653,200 | 235,234.05 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F3
The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $96.80 to $97.73, 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.
Referenced by the price of 1 transaction in Table I.