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 |
|---|---|---|---|---|---|---|
| August 02, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 75.912 | $45.99 | $3,491.19 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 7 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,624.353 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 02, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 26.836 | $45.81 | $1,229.36 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 6 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,548.441 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 02, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 1.242 | $42.12 | $52.31 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 5 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,521.605 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 02, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 75.35 | $42.12 | $3,173.74 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 4 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 396,296,520.364 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 |
| July 29, 2019 Filed Jul 31, 2019 10:05 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 1,557,900 | $45.02 | $70,136,969.58 |
DisclosureSEC source: 0000899243-19-020614 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 396,295,586 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 |
| July 17, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.001 | $43.84 | $0.04 |
DisclosureSEC source: 0000899243-20-028928 · doc4.xml · nonDerivative · entry 3 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 397,854,345.013 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 |
| June 21, 2019 Filed Jun 25, 2019 10:23 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 6,117,339 | $44.11 | $269,839,493.69 |
DisclosureSEC source: 0000899243-19-018059 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 397,853,486 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 |
| June 01, 2019 Filed Jun 4, 2019 20:14 UTC |
CORLEY ELIZABETHDirector
|
GrantCommon Stock | 1,160.85 | $40.92 | $47,500.01 |
DisclosureSEC source: 0001209191-19-034232 · doc4.xml · nonDerivative · entry 2 CORLEY ELIZABETH · CIK 0001725898 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,058.195 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:14 UTC |
CORLEY ELIZABETHDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034232 · doc4.xml · nonDerivative · entry 1 CORLEY ELIZABETH · CIK 0001725898 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,897.345 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:15 UTC |
DARLING ALISTAIRDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034239 · doc4.xml · nonDerivative · entry 1 DARLING ALISTAIR · CIK 0001662540 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,491.779 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:17 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,955.115 | $40.92 | $79,999.98 |
DisclosureSEC source: 0001209191-19-034243 · doc4.xml · nonDerivative · entry 2 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,419.098 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:17 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034243 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,463.983 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:19 UTC |
Herz Robert HDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034252 · doc4.xml · nonDerivative · entry 1 Herz Robert H · CIK 0001523753 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,541.361 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:20 UTC |
Miscik Judith ADirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034254 · doc4.xml · nonDerivative · entry 1 Miscik Judith A · CIK 0001555318 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,484.077 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:20 UTC |
NALLY DENNIS MDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034257 · doc4.xml · nonDerivative · entry 1 NALLY DENNIS M · CIK 0001685596 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,627.624 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:23 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,283.045 | $40.92 | $52,500.02 |
DisclosureSEC source: 0001209191-19-034262 · doc4.xml · nonDerivative · entry 2 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,909.438 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:23 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034262 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,626.393 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:24 UTC |
SCHAPIRO MARY LDirector
|
GrantCommon Stock | 1,160.85 | $40.92 | $47,500.01 |
DisclosureSEC source: 0001209191-19-034264 · doc4.xml · nonDerivative · entry 2 SCHAPIRO MARY L · CIK 0001192486 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,133.965 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:24 UTC |
SCHAPIRO MARY LDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034264 · doc4.xml · nonDerivative · entry 1 SCHAPIRO MARY L · CIK 0001192486 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,973.115 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:25 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 1,649.629 | $40.92 | $67,500.01 |
DisclosureSEC source: 0001209191-19-034268 · doc4.xml · nonDerivative · entry 2 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,157.387 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:25 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034268 · doc4.xml · nonDerivative · entry 1 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,507.758 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. Read SEC document |
| June 01, 2019 Filed Jun 4, 2019 20:26 UTC |
WILKINS RAYFORD JRDirector
|
GrantCommon Stock | 6,109.736 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034273 · doc4.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,162.553 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. Read SEC document |
| May 28, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.008 | $42.17 | $0.34 |
DisclosureSEC source: 0000899243-20-028928 · 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: 403,971,684.012 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 |
| May 24, 2019 Filed May 29, 2019 20:40 UTC |
DARLING ALISTAIRDirector
|
Tax withholdingCommon Stock | 511 | $42.96 | $21,952.41 |
DisclosureSEC source: 0001209191-19-033209 · doc4.xml · nonDerivative · entry 1 DARLING ALISTAIR · CIK 0001662540 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,382.043 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. Read SEC document |
| May 14, 2019 Filed Oct 22, 2020 00:42 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 1,429.279 | $44.34 | $63,374.23 |
DisclosureSEC source: 0000899243-20-028928 · 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: 403,971,684.004 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 |
| April 26, 2019 Filed Apr 30, 2019 10:05 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 896,400 | $47.43 | $42,513,473.16 |
DisclosureSEC source: 0000899243-19-011363 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 403,970,825 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 |
| April 24, 2019 Filed Jun 4, 2019 20:29 UTC |
KELLEHER THOMAS COLMPresident
|
GiftCommon Stock | 10,600 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-034277 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 970,068.315 Read SEC document |
| April 24, 2019 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.002 | $47.37 | $0.09 |
DisclosureSEC source: 0000899243-20-028927 · 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: 404,866,654.725 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 |
| April 18, 2019 Filed Apr 22, 2019 20:07 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
PurchaseCommon Stock | 7,000 | $47.57 | $332,978.80 |
DisclosureSEC source: 0001209191-19-025467 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,088.553 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $47.53 to $47.59, 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 |
| March 22, 2019 Filed Mar 26, 2019 10:05 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 6,235,970 | $42.13 | $262,710,191.35 |
DisclosureSEC source: 0000899243-19-008922 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 404,867,225 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 |
| March 15, 2019 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.198 | $43.34 | $8.58 |
DisclosureSEC source: 0000899243-20-028927 · 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: 411,102,624.727 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 |
| March 07, 2019 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.008 | $41.17 | $0.33 |
DisclosureSEC source: 0000899243-20-028927 · 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: 411,102,624.529 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 27, 2019 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.009 | $42.46 | $0.38 |
DisclosureSEC source: 0000899243-20-028927 · 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: 411,102,624.537 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 26, 2019 Filed Feb 28, 2019 21:04 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 131,068 | $42.19 | $5,529,758.92 |
DisclosureSEC source: 0001209191-19-014439 · doc4.xml · nonDerivative · entry 5 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,453,154.684 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 20, 2016 and earned on February 26, 2019 as described in footnote (1). Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:04 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 245,991 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014439 · doc4.xml · nonDerivative · entry 4 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,584,222.684 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 20, 2016. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:06 UTC |
KELLEHER THOMAS COLMPresident
|
Tax withholdingCommon Stock | 73,038 | $42.19 | $3,081,473.22 |
DisclosureSEC source: 0001209191-19-014440 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 978,988.866 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 20, 2016 and earned on February 26, 2019 as described in footnote (1). Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:06 UTC |
KELLEHER THOMAS COLMPresident
|
GrantCommon Stock | 138,276 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014440 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,052,026.866 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 20, 2016. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:07 UTC |
PRUZAN JONATHANChief Financial Officer
|
Tax withholdingCommon Stock | 36,840 | $42.19 | $1,554,279.60 |
DisclosureSEC source: 0001209191-19-014442 · doc4.xml · nonDerivative · entry 2 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,223.927 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 20, 2016 and earned on February 26, 2019 as described in footnote (1). Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:07 UTC |
PRUZAN JONATHANChief Financial Officer
|
GrantCommon Stock | 68,937 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014442 · doc4.xml · nonDerivative · entry 1 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,063.927 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 20, 2016. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:08 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
Tax withholdingCommon Stock | 43,857 | $42.19 | $1,850,326.83 |
DisclosureSEC source: 0001209191-19-014448 · doc4.xml · nonDerivative · entry 2 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,088.553 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 20, 2016 and earned on February 26, 2019 as described in footnote (1). Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:08 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
GrantCommon Stock | 82,410 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014448 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,945.553 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 20, 2016. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:09 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 31,450 | $42.19 | $1,326,875.50 |
DisclosureSEC source: 0001209191-19-014452 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 260,242.167 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 20, 2016 and earned on February 26, 2019 as described in footnote (1). Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:09 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 63,915 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014452 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 291,692.167 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 20, 2016. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:11 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 25,738 | $42.19 | $1,085,886.22 |
DisclosureSEC source: 0001209191-19-014458 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 254,841.764 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 20, 2016 and earned on February 26, 2019 as described in footnote (1). Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:11 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 52,561 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014458 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,579.764 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 20, 2016. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:11 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Tax withholdingCommon Stock | 19,561 | $42.19 | $825,278.59 |
DisclosureSEC source: 0001209191-19-014462 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,179.304 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 20, 2016 and earned on February 26, 2019 as described in footnote (1). Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:11 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
GrantCommon Stock | 39,947 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014462 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,740.304 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 20, 2016. Read SEC document |
| February 26, 2019 Filed Feb 28, 2019 21:13 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 25,000 | $42.40 | $1,060,072.50 |
DisclosureSEC source: 0001209191-19-014467 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,031.186 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42.40 to $42.42, 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 |
| February 20, 2019 Filed Feb 28, 2019 21:04 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 665 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014439 · doc4.xml · nonDerivative · entry 3 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,338,231.684 Read SEC document |
| February 19, 2019 Filed Feb 28, 2019 21:04 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 595 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014439 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,338,896.684 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.