MS

SEC source: 0001209191-20-043181 · doc4.xml · nonDerivative · entry 1

SAPERSTEIN ANDREW M · CIK 0001362383 · Head of Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,477.962

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $52.38 to $52.77, 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.

SEC source: 0000899243-20-028929 · doc4.xml · nonDerivative · entry 2

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,704.855

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0000899243-20-028929 · doc4.xml · nonDerivative · entry 1

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,705.238

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0001209191-20-033943 · doc4.xml · nonDerivative · entry 2

CORLEY ELIZABETH · CIK 0001725898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,163.98

F2 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033943 · doc4.xml · nonDerivative · entry 1

CORLEY ELIZABETH · CIK 0001725898 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,102.34

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033947 · doc4.xml · nonDerivative · entry 2

DARLING ALISTAIR · CIK 0001662540 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,356.474

F2 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033947 · doc4.xml · nonDerivative · entry 1

DARLING ALISTAIR · CIK 0001662540 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,768.895

F1 · kind: Shares withheld to satisfy taxes upon the conversion of stock units granted to the Reporting Person under the Morgan Stanley Directors' Equity Capital Accumulation Plan as part of his director compensation.

SEC source: 0001209191-20-033950 · doc4.xml · nonDerivative · entry 2

GLOCER THOMAS H · CIK 0001140799 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,676.796

F2 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033950 · doc4.xml · nonDerivative · entry 1

GLOCER THOMAS H · CIK 0001140799 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,888.771

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033952 · doc4.xml · nonDerivative · entry 1

Herz Robert H · CIK 0001523753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,645.948

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033956 · doc4.xml · nonDerivative · entry 1

LUCZO STEPHEN J · CIK 0001248260 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,738.555

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033957 · doc4.xml · nonDerivative · entry 1

Miscik Judith A · CIK 0001555318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,842.955

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033958 · doc4.xml · nonDerivative · entry 1

NALLY DENNIS M · CIK 0001685596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,662.472

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033961 · doc4.xml · nonDerivative · entry 2

OLAYAN HUTHAM S · CIK 0001357222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,135.04

F2 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033961 · doc4.xml · nonDerivative · entry 1

OLAYAN HUTHAM S · CIK 0001357222 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,961.648

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033962 · doc4.xml · nonDerivative · entry 2

SCHAPIRO MARY L · CIK 0001192486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,144.994

F2 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033962 · doc4.xml · nonDerivative · entry 1

SCHAPIRO MARY L · CIK 0001192486 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,083.354

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033965 · doc4.xml · nonDerivative · entry 2

TRAQUINA PERRY M · CIK 0001228062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,085.99

F2 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service on the Morgan Stanley Board of Directors. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033965 · doc4.xml · nonDerivative · entry 1

TRAQUINA PERRY M · CIK 0001228062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,577.343

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-20-033967 · doc4.xml · nonDerivative · entry 1

WILKINS RAYFORD JR · CIK 0001184395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,673.131

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 30

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,707.025

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 29

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,707.021

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 28

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,707.229

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0001209191-20-025969 · doc4.xml · nonDerivative · entry 1

BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,862.622

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 27

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,707.229

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0001209191-20-025081 · doc4.xml · nonDerivative · entry 1

LUCZO STEPHEN J · CIK 0001248260 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Revocable Trust

Disclosed balance after: 190,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $38.66 to $38.68, 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 purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-21-037837 · doc4a.xml · nonDerivative · entry 1

LUCZO STEPHEN J · CIK 0001248260 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Revocable Trust

Disclosed balance after: 154,449

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $38.4298 to $38.68, 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 purchased at each separate price within the range set forth in this footnote.

F2 · balance_after: This report amends the Form 4 filed by the reporting person on April 20, 2020 (the Original Form 4) to correct the number of shares purchased on April 17, 2020 and the weighted average price of such shares, which initially were inadvertently reported as 19,000 shares and $38.6774, respectively. This Form 4 is deemed to amend the Original Form 4 and all Form 4s filed between the date thereof and the date of this Form 4 to add 10,000 shares to the Reporting Person's total ownership listed in Column 5, Amount of Securities Beneficially Owned Following Reported Transaction(s).

F3 · balance_after: Since the Reporting Person's last report, 4,449 shares of Common Stock previously reported as directly beneficially owned were contributed to his revocable trust.

F4 · balance_after: Since the Reporting Person's last report, 50,000 shares of Common Stock previously reported as indirectly beneficially owned by his revocable trust were contributed to a grantor retained annuity trust.

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 26

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,707.539

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 25

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,707.538

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 24

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 377,084,709.853

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0000899243-20-008941 · doc4.xml · nonDerivative · entry 1

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 377,085,167

F1 · date: Relating to underlying Morgan Stanley share repurchases traded on or before March 13, 2020.

F2 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization.

F3 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c).

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 23

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 381,649,999.852

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

SEC source: 0001209191-20-013811 · doc4.xml · nonDerivative · entry 2

GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,296,585.173

F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted in prior years and the LTIP Awards described in footnote (1).

SEC source: 0001209191-20-013811 · doc4.xml · nonDerivative · entry 1

GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,570,255.173

F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 18, 2017.

SEC source: 0001209191-20-013814 · doc4.xml · nonDerivative · entry 2

BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,036.622

F2 · kind: Shares withheld to satisfy taxes upon the conversion of the LTIP Awards described in footnote (1).

SEC source: 0001209191-20-013814 · doc4.xml · nonDerivative · entry 1

BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,239.622

F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 18, 2017.

SEC source: 0001209191-20-013818 · doc4.xml · nonDerivative · entry 2

GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,367.547

F2 · kind: Shares withheld to satisfy taxes upon the conversion of the LTIP Awards described in footnote (1).

SEC source: 0001209191-20-013818 · doc4.xml · nonDerivative · entry 1

GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,152.547

F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 18, 2017.

SEC source: 0001209191-20-013826 · doc4.xml · nonDerivative · entry 2

Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,976.86

F2 · kind: Shares withheld to satisfy taxes upon the conversion of the LTIP Awards described in footnote (1).

SEC source: 0001209191-20-013826 · doc4.xml · nonDerivative · entry 1

Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,141.86

F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 18, 2017.

SEC source: 0001209191-20-013830 · doc4.xml · nonDerivative · entry 2

PICK EDWARD N · CIK 0001801222 · Head of Inst'l Securities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,173.602

F2 · kind: Shares withheld to satisfy taxes upon the conversion of the LTIP Awards described in footnote (1).

SEC source: 0001209191-20-013830 · doc4.xml · nonDerivative · entry 1

PICK EDWARD N · CIK 0001801222 · Head of Inst'l Securities

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599,120.602

F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 18, 2017.

SEC source: 0001209191-20-013836 · doc4.xml · nonDerivative · entry 2

PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,493.113

F2 · kind: Shares withheld to satisfy taxes upon the conversion of the LTIP Awards described in footnote (1).

SEC source: 0001209191-20-013836 · doc4.xml · nonDerivative · entry 1

PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,933.113

F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 18, 2017.

SEC source: 0001209191-20-013842 · doc4.xml · nonDerivative · entry 2

SAPERSTEIN ANDREW M · CIK 0001362383 · Head of Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,320.301

F2 · kind: Shares withheld to satisfy taxes upon the conversion of the LTIP Awards described in footnote (1).

SEC source: 0001209191-20-013842 · doc4.xml · nonDerivative · entry 1

SAPERSTEIN ANDREW M · CIK 0001362383 · Head of Wealth Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,727.301

F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 18, 2017.

SEC source: 0001209191-20-013849 · doc4.xml · nonDerivative · entry 2

SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,031.139

F2 · kind: Shares withheld to satisfy taxes upon the conversion of the LTIP Awards described in footnote (1).

SEC source: 0001209191-20-013849 · doc4.xml · nonDerivative · entry 1

SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,181.139

F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 18, 2017.

SEC source: 0001209191-20-014481 · doc4.xml · nonDerivative · entry 1

LUCZO STEPHEN J · CIK 0001248260 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Revocable Trust

Disclosed balance after: 171,000

F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $44.84 to $45.025, 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.

SEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 22

MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 381,649,999.851

F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.

F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.

F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.

F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.

F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.