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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.

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