SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

Purcell Philip J – ‘4’ for 9/9/02 re: Morgan Stanley

On:  Tuesday, 9/10/02, at 1:50pm ET   ·   For:  9/9/02   ·   Accession #:  1181431-2-327   ·   File #:  1-16589-01

Previous ‘4’:  None   ·   Next:  ‘4’ on 10/1/02 for 9/27/02   ·   Latest:  ‘4’ on 12/10/13 for 12/9/13

Find Words in Filings emoji
 
  in    Show  and   Hints

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 9/10/02  Purcell Philip J                  4          Director    1:22K  Morgan Stanley Dean Witter & Co.  R R Donnelley … Filer/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML     20K 
                Securities by an Insider                                         


This is an HTML Document rendered as filed.  [ Alternative Formats ]



SEC Form 4
FORM 4

[  ] Check this box if no longer
subject to Section 16. Form 4 or Form
5 obligations may continue.
See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C.  20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility
Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
OMB APPROVAL



OMB Number: 3235-0287
Expires: January 31, 2005
Estimated average burden
hours per response. . . . . 0.5
1. Name and Address of Reporting Person*
Purcell, Philip J.

(Last)                      (First)                      (Middle)
Morgan Stanley
1585 Broadway

(Street)
New York,    NY   10036

(City)                      (State)                      (Zip)

2. Issuer Name
and Ticker or Trading Symbol

Morgan Stanley
MWD

3. I.R.S. Identification
    Number of Reporting
    Person, if an entity
    (voluntary)
4. Statement for
    Month/Day/Year)

09/09/2002


5. If Amendment,
    Date of Original
    (Month/Day/Year)

6. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X Director      10% Owner
X Officer (give title below)        Other (specify below)

Description           Chairman of the Board and CEO

7. Individual or Joint/Group
    Filing (Check Applicable Line)

X   Form filed by One Reporting Person
     Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security
    (Instr. 3)

2.Transaction
Date
(Month/Day/Year)
2A. Deemed Execution Date, if any
(Month/Day/Year)
3. Transaction
    Code
    (Instr. 8)



Code  /  V    
4. Securities Acquired (A) or Disposed Of (D)
    (Instr. 3, 4, and 5)





Amount / A/D / Price
5. Amount of
    Securities
    Beneficially
    Owned Following
    Reported Transaction(s)

    (Instr. 3 and 4)
6. Owner-
    ship
    Form:
    Direct (D)
    or
    Indirect (I)

    (Instr. 4)
7. Nature of
     Indirect
     Beneficial
     Ownership

    (Instr. 4)
Common Stock
09/09/2002
F /
36,153 / D / $40.07
2,957,937
D
Common Stock
/
/ / $
14,079
I
By 401(k) Plan/ESOP Trust
Common Stock
/
/ / $
5,244
I
By Child
Common Stock
/
/ / $
45,362
I
By Spouse

 
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
    (Instr. 3)
2. Conver-
    sion or
    Exercise
    Price of
    Deri-
    vative
    Security
3. Transaction Date

(Month/
Day/
Year)
3A. Deemed Execution Date, if any

(Month/
Day/
Year)
4. Transaction Code
    (Instr.8)



Code / V    
5. Number of Derivative
    Securities Acquired (A)
    or Disposed Of (D)

    (Instr. 3, 4 and 5)





(A) or (D)
6. Date Exercisable(DE) and
    Expiration Date(ED)
    (Month/Day/Year)






  (DE)     /     (ED)  
7. Title and Amount of
    Underlying Securities
    (Instr. 3 and 4)






Title     /         Amount or Number of Shares
8. Price
    of
    Derivative
    Security
    (Instr.5)
9. Number of
    Derivative
    Securities
    Beneficially
    Owned
    Following
    Reported
    Transaction(s)
    (Instr.4)
10. Owner-
ship
Form of
Deriv-
ative
Securities:
Direct (D)
or
Indirect (I)

(Instr.4)
11. Nature of
      Indirect
      Beneficial
      Ownership
      (Instr.4)
$
/
/
 / 
$
Explanation of Responses:
 
                                                               POWER OF ATTORNEY


                The undersigned hereby makes, constitutes and appoints each of Christine A. Edwards, Ronald T. Carman, Martin M. Cohen, William J. O'Shaughnessy, Jr., Charlene R. Herzer, W. Gary Beeson, Ellie Currie, Ola E. Lotfy, Lisa M. Luca and Jennifer Zimmerman to act severally and not jointly, as his true and lawful agents and attorneys-in-fact, with full power and authority to act hereunder, each in his/her discretion, in the name of and for and on behalf of the undersigned as fully as could the undersigned if present and acting in person, to make any and all required or voluntary filings under Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the applicable rules and regulation thereunder, with the Securities and Exchange Commission, any and all applicable stock exchanges, Morgan Stanley Dean Witter & Co. ("MSDW") and any other person or entity to which such filings may be required under Section 16(a) of the Exchange Act as a result of the undersigned's status as an officer, director or stockholder of MSDW. This power of attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to securities of MSDW.

                IN WITNESS WHEREOF, the undersigned has executed this power of attorney, effective as of this 6th day of November, 1998.

                                                        By: /s/ Philip J. Purcell                
                                                              Philip J. Purcell

By:
/s/ CR Herzer, Attorney-In-Fact                                                                                                09/10/2002
** Signature of Reporting Person                                                                                    Date      





SEC 1474 (8-02)
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘4’ Filing    Date    Other Filings
1/31/0525,  4,  424B3
Filed on:9/10/024,  SC 13G,  SC 13G/A
For Period end:9/9/024,  4/A
 List all Filings 
Top
Filing Submission 0001181431-02-000327   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Mon., May 13, 3:44:33.2pm ET