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 |
|---|---|---|---|---|---|---|
| January 29, 2019 Filed Jan 31, 2019 14:45 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 1,167,007 | $42.54 | $49,642,727.27 |
DisclosureSEC source: 0000899243-19-002235 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,103,195 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 22, 2019 Filed Feb 28, 2019 21:04 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 5,985 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-014439 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,339,491.684 Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:25 UTC |
KELLEHER THOMAS COLMPresident
|
Tax withholdingCommon Stock | 12,293 | $42.53 | $522,821.29 |
DisclosureSEC source: 0001209191-19-004555 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 912,003.915 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2016. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:25 UTC |
KELLEHER THOMAS COLMPresident
|
GrantCommon Stock | 150,365.17 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004555 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 924,296.915 F1 · kind: Restricted Stock Units granted in 2019 as part of 2018 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:23 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 96,230 | $42.53 | $4,092,661.90 |
DisclosureSEC source: 0001209191-19-004554 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,343,309.45 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2016. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:23 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 158,795.79 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004554 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,439,539.45 F1 · kind: Restricted Stock Units granted in 2019 as part of 2018 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:26 UTC |
PRUZAN JONATHANChief Financial Officer
|
Tax withholdingCommon Stock | 26,460 | $42.53 | $1,125,343.80 |
DisclosureSEC source: 0001209191-19-004557 · doc4.xml · nonDerivative · entry 2 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,403.535 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2016. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:26 UTC |
PRUZAN JONATHANChief Financial Officer
|
GrantCommon Stock | 33,029.52 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004557 · doc4.xml · nonDerivative · entry 1 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,863.535 F1 · kind: Restricted Stock Units granted in 2019 as part of 2018 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:27 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
Tax withholdingCommon Stock | 33,369 | $42.53 | $1,419,183.57 |
DisclosureSEC source: 0001209191-19-004558 · doc4.xml · nonDerivative · entry 2 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 146,764.212 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2016. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:27 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
GrantCommon Stock | 33,029.52 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004558 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,133.212 F1 · kind: Restricted Stock Units granted in 2019 as part of 2018 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:28 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 21,595 | $42.53 | $918,435.35 |
DisclosureSEC source: 0001209191-19-004559 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,102.578 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2016. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:28 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 30,142.33 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004559 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,697.578 F1 · kind: Restricted Stock Units granted in 2019 as part of 2018 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:29 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 17,508 | $42.53 | $744,615.24 |
DisclosureSEC source: 0001209191-19-004560 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,498.49 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2016. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:29 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 24,367.94 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004560 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,006.49 F1 · kind: Restricted Stock Units granted in 2019 as part of 2018 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:30 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Tax withholdingCommon Stock | 11,281 | $42.53 | $479,780.93 |
DisclosureSEC source: 0001209191-19-004561 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,985.424 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2016. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:30 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
GrantCommon Stock | 17,438.67 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004561 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,266.424 F1 · kind: Restricted Stock Units granted in 2019 as part of 2018 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:31 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 34,242 | $42.53 | $1,456,312.26 |
DisclosureSEC source: 0001209191-19-004562 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,173.251 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2016. Read SEC document |
| January 18, 2019 Filed Jan 18, 2019 21:31 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 38,572.94 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004562 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,415.251 F1 · kind: Restricted Stock Units granted in 2019 as part of 2018 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 23:01 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherPut Option (right to sell) · Derivative | 7,000 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0000899243-19-001746 · doc4.xml · derivative · entry 3 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 7,000 Underlying: Common Shares · 700,000 shares Expires 2019-01-18 F3 · shares: Each option contract represents 100 Common Shares. F3 · balance_after: Each option contract represents 100 Common Shares. F1 · ownership.nature: The reported transactions were effected by a wholly owned subsidiary of the Reporting Person. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 23:01 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherCall Option (obligation to sell) · Derivative | 7,000 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0000899243-19-001746 · doc4.xml · derivative · entry 2 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 7,000 Underlying: Common Shares · 700,000 shares Expires 2019-01-18 F2 · security: The premium received from writing the call options, which occurred on November 5, 2018, has been disgorged to the Issuer. F3 · shares: Each option contract represents 100 Common Shares. F3 · balance_after: Each option contract represents 100 Common Shares. F1 · ownership.nature: The reported transactions were effected by a wholly owned subsidiary of the Reporting Person. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 23:01 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherCommon Shares | 700,000 | $46.00 | $32,200,000.00 |
DisclosureSEC source: 0000899243-19-001746 · 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: 412,270,202 F1 · ownership.nature: The reported transactions were effected by a wholly owned subsidiary of the Reporting Person. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 21:53 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
SaleCommon Stock | 15,565 | $43.38 | $675,152.11 |
DisclosureSEC source: 0001209191-19-004994 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,420.424 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $43.26 to $43.69, 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 |
| January 16, 2019 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.012 | $44.49 | $0.53 |
DisclosureSEC source: 0000899243-20-028927 · 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: 412,969,631.546 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 09, 2019 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.045 | $41.68 | $1.88 |
DisclosureSEC source: 0000899243-20-028927 · 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: 412,969,631.534 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, 2018 Filed Dec 26, 2018 15:28 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 5,408,450 | $43.28 | $234,065,276.57 |
DisclosureSEC source: 0000899243-18-031651 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,970,202 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 17, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $39.60 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 51 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires not disclosed F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · kind: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · derivative.expiration_date: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| December 01, 2018 Filed Dec 4, 2018 21:14 UTC |
CORLEY ELIZABETHDirector
|
GrantCommon Stock | 959.953 | $44.27 | $42,500.00 |
DisclosureSEC source: 0001209191-18-060839 · doc4.xml · nonDerivative · entry 1 CORLEY ELIZABETH · CIK 0001725898 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,679.638 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, 2018 Filed Dec 4, 2018 21:16 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,072.888 | $44.27 | $47,499.97 |
DisclosureSEC source: 0001209191-18-060844 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,291.149 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, 2018 Filed Dec 4, 2018 21:15 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,637.567 | $44.27 | $72,500.00 |
DisclosureSEC source: 0001209191-18-060841 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,497.144 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, 2018 Filed Dec 4, 2018 21:17 UTC |
SCHAPIRO MARY LDirector
|
GrantCommon Stock | 639.968 | $44.27 | $28,333.30 |
DisclosureSEC source: 0001209191-18-060845 · doc4.xml · nonDerivative · entry 1 SCHAPIRO MARY L · CIK 0001192486 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,795.951 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, 2018 Filed Dec 4, 2018 21:18 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 1,298.76 | $44.27 | $57,500.00 |
DisclosureSEC source: 0001209191-18-060846 · doc4.xml · nonDerivative · entry 1 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,879.513 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 30, 2018 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.023 | $44.39 | $1.02 |
DisclosureSEC source: 0000899243-20-028927 · 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: 418,378,081.579 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 27, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $44.05 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 50 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 27, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $44.05 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 49 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 19, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $44.41 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 48 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 19, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $44.41 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 47 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 09, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $45.73 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 46 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 05, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $45.82 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 45 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires not disclosed F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · kind: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · derivative.expiration_date: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 05, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchasePut Option(right to sell) · Derivative | 7,000 | $217.00 Strike: $46.00 | $1,519,000.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 44 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 7,000 Underlying: Common Shares · 700,000 shares Expires 2019-01-18 F12 · security: The exercise of this put option was previously reported by the Reporting Person. F11 · shares: Each option contract represents 100 Common Shares. F11 · balance_after: Each option contract represents 100 Common Shares. Read SEC document |
| November 05, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCall Option (obligation to sell) · Derivative | 7,000 | $242.00 Strike: $46.00 | $1,694,000.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 43 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 7,000 Underlying: Common Shares · 700,000 shares Expires 2019-01-18 F10 · security: The expiration of this call option was previously reported by the Reporting Person. F11 · shares: Each option contract represents 100 Common Shares. F11 · balance_after: Each option contract represents 100 Common Shares. Read SEC document |
| November 01, 2018 Filed Nov 28, 2018 21:10 UTC |
Hotsuki KeishiChief Risk Officer
|
GiftCommon Stock | 11,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-060109 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,638.83 Read SEC document |
| October 30, 2018 Filed Oct 31, 2018 10:10 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 1,727,280 | $45.32 | $78,287,584.18 |
DisclosureSEC source: 0000899243-18-027766 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 417,640,652 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 |
| October 08, 2018 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.008 | $47.02 | $0.38 |
DisclosureSEC source: 0000899243-20-028927 · 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: 419,497,361.557 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 04, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $47.27 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 42 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-12-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| October 04, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $47.27 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 41 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-12-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| September 21, 2018 Filed Sep 25, 2018 10:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
Disposition to issuerCommon Shares | 5,053,616 | $48.96 | $247,446,264.55 |
DisclosureSEC source: 0000899243-18-025162 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,367,932 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 13, 2018 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 667.027 | $47.66 | $31,790.51 |
DisclosureSEC source: 0000899243-20-028927 · 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: 424,550,977.565 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 04, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $48.71 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 40 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-12-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| September 04, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $48.71 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 39 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires not disclosed F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · kind: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · derivative.expiration_date: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| August 06, 2018 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $49.99 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 38 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-09-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. 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.