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CHAPTER 1

Sample #1: Quarterly Stock Plan Summary

If you have a restricted award vesting resulting in a Sell-to-Cover (STC) or Sell-all-Shares (SAS) transaction, you will receive a Stock Plan Summary at the end of the quarter in which the transaction occurred. The Year-End Summary will contain a recap of activity for the entire calendar year.

 
  1. Type of statement and time period
  2. Morgan Stanley contact information
  3. Company Name and Stock Symbol
  4. This gray subtitle indicates the type of transaction that occurred: either Exercise and Sell or Exercise and Sell-to-Cover
  5. Trade and Settlement Date of the transaction
  6. Award type (e.g. RST = Restricted Stock or Unit)
  7. Award Price, Release FMV, and Sale Price
  8. Number of shares released and sold
  9. Taxable Compensation Amount
  10. Sale Proceeds equal the number of shares multiplied by price.*
  11. Taxes withheld on Release, if applicable
  12. Backup Withholding, if applicable
  13. Net proceeds from the transaction (Sale Proceeds less any applicable taxes or backup withholding amounts)

*This will be the amount reported on the 1099-B.

CHAPTER 2

Sample #2: Employee Stock Plan Account Statement


If you acquire shares from a restricted award release, you will receive a quarterly Account Statement reflecting the deposit of shares into your account. You will continue to receive quarterly Account Statements as long as you have holdings or activity in your account.

 
  1. Type of statement and time period
  2. Morgan Stanley contact information
  3. Company Stock reported in the statement
  4. Your Account Summary — shows your opening and closing account balance
  5. Transaction date — date the transaction took place
    • Number of shares — shares held in account
    • Share price — the closing share price at the beginning and ending statement period
    • Share value — number of shares multiplied by price per share
    • Cash value — value of any cash in your account
    • Net unsettled sales — net proceeds amount from a stock sale that occurred at the end of the reporting period and has not settled
    • Total account value — your account value at the opening and closing of the calendar quarter
  6. Activity type — type of transaction (e.g., release, tax withholding, sale, etc.)
  7. Quantity — share amount involved in the transaction
  8. Price — price of the shares in the transaction

 

CHAPTER 3

Three Ways to Obtain Your Statements


 Via Mail

Your statement(s) will be sent to the address on file on your stock plan account at Morgan Stanley.

Via eDelivery

You must enroll in the eDelivery service on StockPlan Connect. To enroll, go to: Profile > eDelivery and select the documents that you would like posted to your account.

Via StockPlan Connect

Log into StockPlan Connect from the Overview Page, go to either:

Quarterly Stock Plan Summary:

Documents > Statements > Quarterly Stock Plan Summary or Year-End Option Exercise Summary

Or

Account Statement:

Documents > Tax Documents > Stock Purchase Activity Statement (Quarterly)

You can also select ‘All Types’ to see a comprehensive list of all your statements that are posted to the Document section of StockPlan Connect.

You may also create and print a “tax package” containing your statements from the “Documents you will need” tab within the Tax Resources Center. You can access the Tax Resources Center from the link in the global header or from within the “Help” section of StockPlan Connect.

We recommend you retain your statements for year-end tax purposes.

If you have any questions, contact us at:

  • North & South America
    Toll Free Number (within U.S.) +1 866-722-7310
    Toll Number (outside U.S.) +801-617-7435

  • Europe
    Toll Number +1 801-617-7700
  • Asia Pacific
    Toll Number + 61-3-9188-2093
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