Financial Disclosure Details - OGE Form 278e (04/29/2021)

Positions Held Outside United States Government

#
Organization
City
Position
To
1
New York, New York
Managing director, vice chairman; member of Operating Committee
Present
2
Washington, District of Columbia
Board Member
Present
3
New York, New York
Member
Present
4
New York, New York
Board Member
Present
5
Washington, District of Columbia
Board Member
Present
6
Washington, District of Columbia
Board Member
Present
7
New York, New York
Trustee
Present
8
New York, New York
Trustee
Present

Employment Assets & Income and Retirement Accounts

#
Description
Value
Income Type
Income Amount
1
Morgan Stanley Compensation
Salary
$1,308,286
2
Morgan Stanley Deferred Compensation (tracks PIMCO Low Duration Fund)
$1,000,001 - $5,000,000
None (or less than $201)
3
Morgan Stanley Performance Stock Units (vested)
$5,000,001 - $25,000,000
None (or less than $201)
4
Morgan Stanley Stock
$5,000,001 - $25,000,000
Dividends
Over $5,000,000
5
Morgan Stanley 401(k) Plan
5.1
BlckRck S&P 500 Index
$1,000,001 - $5,000,000
None (or less than $201)
6
Morgan Stanley, Defined Benefit Plan (value not readily ascertainable); eligible for approx. $240/mo. beginning age 65
None (or less than $201)
7
Morgan Stanley, Annual Bonus
2020 Bonus
$3,587,500
8
Morgan Stanley, Anticipated Pro Rata Bonus for 2021
$1,000,001 - $5,000,000
None (or less than $201)
9
IRA #1

Employment Agreements and Arrangements

#
Employer Or Party
City
Status And Terms
Date
1
New York, New York
As part of my annual compensation, I receive performance stock units, which represent approximately 40% of my annual compensation. I am not owed any additional performance stock units, nor do I anticipate receiving any additional performance stock units from Morgan Stanley. My performance stock units are fully vested when granted. These performance units are paid out in shares of company stock and are delivered over a three year period following the grant. Pursuant to company policy, Morgan Stanley provides full payment of the performance shares to departing employees who are required to divest any interest in order to comply with federal, state, or local government financial conflict of interest requirements, and will accelerate my stock payout pursuant to this policy.
2/2017
2
New York, New York
Deferred Compensation Plan: Pursuant to the deferred compensation plan annual cash bonus compensation is deferred into a mutual fund account which as a full career employee is fully vested upon grant. The value is delivered over three years regardless if I am an employee at the Company. I will continue to participate in this plan. There will be no acceleration of payout.
2/2017
have gone into this deferred compensation plan, but the 2021 bonus will not.
3
New York, New York
Health and Welfare Plans: Pursuant to company policy for all members of the Operating Committee, I and my spouse will retain health insurance coverage for life.
2/2017
4
New York, New York
Defined Benefit Plan: The Company provides a qualified defined benefit plan that pays a benefit of approximately $240 per month beginning at age 65. I will continue to participate in this defined benefit plan.
2/2017
5
New York, New York
Pro rata Bonus: Pursuant to Company practice, the Company will pay a partial bonus for 2021, for the period Jan. 1 through the date of termination of service, computed based upon months served in 2021 and using last year's bonus amount paid by the Company. The payment will be made before I enter government service.
1/2021
6
New York, New York
401(k) Plan: I will continue to participate in this defined contribution plan. The Company will not make any further contributions to the plan for my account after my separation.
2/2017

Sources of Compensation Exceeding $5,000 in a Year

#
Source
City
Duties
1
New York, New York
Managing director and vice chairman; member of Operating Committee

Spouse's Employment Assets & Income and Retirement Accounts

#
Description
Value
Type
Amount
1
Individual Retirement Account
1.1
INVESCO Exchange Fund
$100,001 - $250,000
None (or less than $201)
1.2
ATT Stock
$1,001 - $15,000
None (or less than $201)
2
ATT Retirement Savings Plan 401(k)
2.1
ATT Asset Allocation
$250,001 - $500,000
None (or less than $201)
3
ATT Restricted Stock Units (unvested)
$250,001 - $500,000
None (or less than $201)
4
Warner Media RSUs (unvested, to be paid out in shares upon vesting)
$15,001 - $50,000
None (or less than $201)
5
Warner Media Restricted Stock (unvested)
$1,001 - $15,000
None (or less than $201)
6
Warner Media Savings Plan 401(k)
6.1
Warner Media Asset Allocation
$250,001 - $500,000
None (or less than $201)

Other Assets and Income

#
Description
Value
Type
Amount
1
Trust #1
1.1
MORGAN STANLEY BANK NA Money Market Fund (BDPS)
$1,001 - $15,000
None (or less than $201)
1.2
ISHARES S&P MID-CAP 400 G ETF (IJK)
$15,001 - $50,000
$201 - $1,000
1.3
SPDR S&P 500 ETF TRUST (SPY)
$50,001 - $100,000
None (or less than $201)
1.4
SPDR S&P DIVIDEND (SDY)
$15,001 - $50,000
$1,001 - $2,500
1.5
BLACKSTONE ALT MULT-STRAT INST (BXMIX)
$50,001 - $100,000
$1,001 - $2,500
1.6
COLUMBIA SELECT LG CAP GW I (UMLGX)
$15,001 - $50,000
$5,001 - $15,000
1.7
MATTHEWS ASIA DIVIDEND INV (MAPIX)
$15,001 - $50,000
$201 - $1,000
1.8
MSIF GROWTH I (MSEQX)
$100,001 - $250,000
$5,001 - $15,000
1.9
MSIF INTL ADVANTAGE PTF I (MFAIX)
$50,001 - $100,000
None (or less than $201)

Transactions

#
Description
Type
Date
Amount
Nothing reported in this section

Liabilities

#
Creditor
Amount
Incurred
Term
Nothing reported in this section

Gifts and Travel Reimbursements

#
Source Name
City
Description
Value
Nothing reported in this section

Endnotes

Section
#
Description
1
1
Resigned from this position subsequent to the date of filing this report.
2
7
2020 bonus paid in cash in amount indicated and stock, which is part of Morgan Stanley stock reported in line 4 of this part 2.
6
2
All assets in this account liquidated subsequent to the date of filing this report.
6
5
All assets in this account liquidated subsequent to the date of filing this report.
6
7
All assets in this account liquidated subsequent to the date of filing this report.

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