Last 12 months
Inside the activity.
0 purchase rows · 33 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 16 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 12 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 5 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 26, 2020 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.002 | $47.23 | $0.09 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 21 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 381,649,999.846 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. Read SEC document |
| February 25, 2020 Filed Jun 3, 2020 20:03 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 3,311 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-033931 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,293,773.475 Read SEC document |
| February 24, 2020 Filed Jun 3, 2020 20:03 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 2,300 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-033931 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,297,084.475 Read SEC document |
| February 21, 2020 Filed Feb 24, 2020 21:09 UTC |
LUCZO STEPHEN JDirector
|
PurchaseCommon Stock | 50,000 | $53.00 | $2,649,955.00 |
DisclosureSEC source: 0001209191-20-011942 · doc4.xml · nonDerivative · entry 1 LUCZO STEPHEN J · CIK 0001248260 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 121,000 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $52.91 to $53.14, 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. Read SEC document |
| February 19, 2020 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.001 | $56.32 | $0.06 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 20 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 381,649,999.848 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. Read SEC document |
| February 06, 2020 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 1,495.42 | $54.95 | $82,173.33 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 19 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 381,649,999.847 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. Read SEC document |
| January 29, 2020 Filed Jan 31, 2020 11:14 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 908,960 | $55.02 | $50,012,888.02 |
DisclosureSEC source: 0000899243-20-002374 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,650,457 F1 · 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. F2 · 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). Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:28 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 61,436 | $56.44 | $3,467,447.84 |
DisclosureSEC source: 0001209191-20-003999 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,399,229.542 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2017. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:28 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 111,747.22 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-003999 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,460,665.542 F1 · kind: Restricted Stock Units granted in 2020 as part of 2019 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:29 UTC |
PRUZAN JONATHANChief Financial Officer
|
Tax withholdingCommon Stock | 15,940 | $56.44 | $899,653.60 |
DisclosureSEC source: 0001209191-20-004003 · doc4.xml · nonDerivative · entry 2 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,625.552 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2017. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:29 UTC |
PRUZAN JONATHANChief Financial Officer
|
GrantCommon Stock | 37,994.05 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004003 · doc4.xml · nonDerivative · entry 1 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,565.552 F1 · kind: Restricted Stock Units granted in 2020 as part of 2019 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:31 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
Tax withholdingCommon Stock | 18,504 | $56.44 | $1,044,365.76 |
DisclosureSEC source: 0001209191-20-004012 · doc4.xml · nonDerivative · entry 2 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,464.443 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2017. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:31 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
GrantCommon Stock | 42,376.3 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004012 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 237,968.443 F1 · kind: Restricted Stock Units granted in 2020 as part of 2019 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:33 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 13,799 | $56.44 | $778,815.56 |
DisclosureSEC source: 0001209191-20-004022 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 281,257.795 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2017. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:33 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 32,625.81 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004022 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 295,056.795 F1 · kind: Restricted Stock Units granted in 2020 as part of 2019 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:36 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 9,689 | $56.44 | $546,847.16 |
DisclosureSEC source: 0001209191-20-004025 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 243,776.245 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2017. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:36 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 24,934.97 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004025 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,465.245 F1 · kind: Restricted Stock Units granted in 2020 as part of 2019 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:40 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Tax withholdingCommon Stock | 6,165 | $56.44 | $347,952.60 |
DisclosureSEC source: 0001209191-20-004027 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,060.083 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2017. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:40 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
GrantCommon Stock | 17,835.73 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004027 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,225.083 F1 · kind: Restricted Stock Units granted in 2020 as part of 2019 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:41 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 19,789 | $56.44 | $1,116,891.16 |
DisclosureSEC source: 0001209191-20-004028 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,977.446 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2017. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:41 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 26,950.8 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004028 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,766.446 F1 · kind: Restricted Stock Units granted in 2020 as part of 2019 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:57 UTC |
ROONEY ROBERT PHead of Tech/Ops/Resilience
|
Tax withholdingCommon Stock | 2,407 | $56.44 | $135,851.08 |
DisclosureSEC source: 0001209191-20-004055 · doc4.xml · nonDerivative · entry 2 ROONEY ROBERT P · CIK 0001793981 · Head of Tech/Ops/Resilience 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,420.364 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2017. Read SEC document |
| January 17, 2020 Filed Jan 17, 2020 21:57 UTC |
ROONEY ROBERT PHead of Tech/Ops/Resilience
|
GrantCommon Stock | 46,380.42 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-004055 · doc4.xml · nonDerivative · entry 1 ROONEY ROBERT P · CIK 0001793981 · Head of Tech/Ops/Resilience 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,827.364 F1 · kind: Restricted Stock Units granted in 2020 as part of 2019 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| December 26, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.002 | $51.10 | $0.10 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 18 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 382,560,455.267 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. Read SEC document |
| December 20, 2019 Filed Dec 23, 2019 13:56 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 4,690,554 | $49.16 | $230,587,634.64 |
DisclosureSEC source: 0000899243-19-029871 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382,559,417 F1 · 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. F2 · 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). Read SEC document |
| December 01, 2019 Filed Dec 2, 2019 21:19 UTC |
CORLEY ELIZABETHDirector
|
GrantCommon Stock | 958.258 | $49.57 | $47,499.99 |
DisclosureSEC source: 0001209191-19-058532 · doc4.xml · nonDerivative · entry 1 CORLEY ELIZABETH · CIK 0001725898 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,259.625 F1 · 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. Read SEC document |
| December 01, 2019 Filed Dec 2, 2019 21:20 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,613.909 | $49.57 | $80,000.02 |
DisclosureSEC source: 0001209191-19-058534 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,161.559 F1 · 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. Read SEC document |
| December 01, 2019 Filed Dec 2, 2019 21:21 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,059.127 | $49.57 | $52,499.97 |
DisclosureSEC source: 0001209191-19-058536 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,680.124 F1 · 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. Read SEC document |
| December 01, 2019 Filed Dec 2, 2019 21:22 UTC |
SCHAPIRO MARY LDirector
|
GrantCommon Stock | 958.258 | $49.57 | $47,499.99 |
DisclosureSEC source: 0001209191-19-058539 · doc4.xml · nonDerivative · entry 1 SCHAPIRO MARY L · CIK 0001192486 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,288.171 F1 · 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. Read SEC document |
| December 01, 2019 Filed Dec 2, 2019 21:24 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 1,361.735 | $49.57 | $67,499.98 |
DisclosureSEC source: 0001209191-19-058542 · doc4.xml · nonDerivative · entry 1 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,248.361 F1 · 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. Read SEC document |
| November 27, 2019 Filed Dec 2, 2019 21:27 UTC |
Hotsuki KeishiChief Risk Officer
|
SaleCommon Stock | 26,000 | $49.78 | $1,294,248.80 |
DisclosureSEC source: 0001209191-19-058546 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,530.496 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.77 to $49.795, 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. Read SEC document |
| November 27, 2019 Filed Dec 2, 2019 21:28 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 25,000 | $49.62 | $1,240,500.00 |
DisclosureSEC source: 0001209191-19-058548 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,815.917 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.62 to $49.6202, 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. Read SEC document |
| November 26, 2019 Filed Dec 2, 2019 21:27 UTC |
Hotsuki KeishiChief Risk Officer
|
GiftCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-058546 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,530.496 Read SEC document |
| November 26, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.008 | $49.41 | $0.40 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 17 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 387,251,009.27 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. Read SEC document |
| November 21, 2019 Filed Nov 22, 2019 21:14 UTC |
ROONEY ROBERT PHead of Tech/Ops/Resilience
|
SaleCommon Stock | 51,105 | $49.13 | $2,511,003.29 |
DisclosureSEC source: 0001209191-19-057778 · doc4.xml · nonDerivative · entry 1 ROONEY ROBERT P · CIK 0001793981 · Head of Tech/Ops/Resilience 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,447.833 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $48.75 to $49.30, 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. Read SEC document |
| November 19, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.01 | $49.37 | $0.49 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 16 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 387,251,009.277 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. Read SEC document |
| November 08, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.009 | $49.15 | $0.44 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 15 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 387,251,009.288 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. Read SEC document |
| November 01, 2019 Filed Nov 4, 2019 21:54 UTC |
LUCZO STEPHEN JDirector
|
GrantCommon Stock | 3,102.296 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-054941 · doc4.xml · nonDerivative · entry 1 LUCZO STEPHEN J · CIK 0001248260 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,102.296 F1 · kind: Deferred 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. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 10:05 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 38,000 | $46.77 | $1,777,282.80 |
DisclosureSEC source: 0000899243-19-026283 · 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: 387,249,971 F1 · 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. F2 · kind: The sales were to Morgan Stanley and approved by Morgan Stanley in accordance with Rule 16b-3(e). F4 · ownership.nature: The sales were effected by a wholly owned subsidiary of the Reporting Person. Read SEC document |
| October 29, 2019 Filed Oct 30, 2019 10:05 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 1,094,110 | $45.61 | $49,899,731.24 |
DisclosureSEC source: 0000899243-19-026283 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 387,287,971 F1 · 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. F2 · kind: The sales were to Morgan Stanley and approved by Morgan Stanley in accordance with Rule 16b-3(e). F3 · kind: The sales were effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| October 29, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.002 | $46.82 | $0.09 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 14 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 387,251,009.296 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. Read SEC document |
| October 21, 2019 Filed Dec 2, 2019 21:25 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 4,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-058543 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,348,919.205 Read SEC document |
| September 26, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.003 | $42.61 | $0.13 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 13 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 388,383,119.299 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. Read SEC document |
| September 20, 2019 Filed Sep 24, 2019 11:15 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 7,913,505 | $41.31 | $326,921,135.86 |
DisclosureSEC source: 0000899243-19-024115 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,382,081 F1 · 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. F2 · 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). Read SEC document |
| September 20, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.01 | $43.68 | $0.44 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 12 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,624.302 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. Read SEC document |
| September 06, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.081 | $42.18 | $3.42 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 11 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,624.292 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. Read SEC document |
| September 03, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.002 | $40.73 | $0.08 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 10 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,624.372 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. Read SEC document |
| August 27, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.005 | $39.80 | $0.20 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 9 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,624.37 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. Read SEC document |
| August 13, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.012 | $40.69 | $0.49 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 8 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,624.365 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. Read SEC document |
| August 07, 2019 Filed Aug 29, 2019 20:22 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 1,265 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-047702 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,351,227.323 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.