Last 12 months
Inside the activity.
0 purchase rows · 33 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 16 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 12 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 5 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 14, 2018 Filed Feb 15, 2018 21:09 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
SaleCommon Stock | 32,181 | $53.79 | $1,730,935.54 |
DisclosureSEC source: 0001209191-18-010358 · doc4.xml · nonDerivative · entry 3 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,876.078 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $53.71 to $53.92, 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 14, 2018 Filed Feb 16, 2018 21:16 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 6,244 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-010823 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,335,467.567 Read SEC document |
| February 14, 2018 Filed Feb 16, 2018 21:17 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 17,421 | $54.72 | $953,296.28 |
DisclosureSEC source: 0001209191-18-010829 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,674.326 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $54.671 to $54.755, 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 14, 2018 Filed Feb 16, 2018 21:18 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
SaleCommon Stock | 11,054 | $54.97 | $607,599.69 |
DisclosureSEC source: 0001209191-18-010833 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,221.028 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $54.84 to $55.06, 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 13, 2018 Filed Feb 15, 2018 21:09 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
GiftCommon Stock | 9,371 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-010358 · doc4.xml · nonDerivative · entry 2 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,057.078 Read SEC document |
| February 13, 2018 Filed Feb 15, 2018 21:09 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
SaleCommon Stock | 54,869 | $53.41 | $2,930,679.49 |
DisclosureSEC source: 0001209191-18-010358 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 185,428.078 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $53.40 to $53.48, 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 01, 2018 Filed Feb 5, 2018 21:13 UTC |
CORLEY ELIZABETHDirector
|
GrantCommon Stock | 1,461.552 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-007439 · doc4.xml · nonDerivative · entry 1 CORLEY ELIZABETH · CIK 0001725898 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,461.552 F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:24 UTC |
BOWLES ERSKINE BDirector
|
Disposition to issuerCommon Stock | 1,497 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-007487 · doc4.xml · nonDerivative · entry 2 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,235.619 F2 · kind: Reflects the cancellation of unvested restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in connection with the reporting person's retirement from the Morgan Stanley Board of Directors. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 21:24 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 416.542 | $57.02 | $23,749.98 |
DisclosureSEC source: 0001209191-18-007487 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,732.619 F1 · kind: Reflects stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service from the 2017 annual meeting of shareholders through the reporting person's retirement from the Morgan Stanley Board of Directors, effective February 1, 2018. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:34 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 69,770 | $55.84 | $3,895,956.80 |
DisclosureSEC source: 0001209191-18-004566 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,341,711.567 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2015. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:34 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 20,791.84 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004566 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,411,481.567 F1 · kind: Restricted Stock Units granted in 2018 as part of 2017 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:36 UTC |
KELLEHER THOMAS COLMPresident
|
Tax withholdingCommon Stock | 25,792 | $55.84 | $1,440,225.28 |
DisclosureSEC source: 0001209191-18-004568 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700,947.372 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2015 and January 20, 2016. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:36 UTC |
KELLEHER THOMAS COLMPresident
|
GrantCommon Stock | 33,978.63 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004568 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 726,739.372 F1 · kind: Restricted Stock Units granted in 2018 as part of 2017 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:37 UTC |
PRUZAN JONATHANChief Financial Officer
|
Tax withholdingCommon Stock | 54,223 | $55.84 | $3,027,812.32 |
DisclosureSEC source: 0001209191-18-004570 · doc4.xml · nonDerivative · entry 2 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,255.414 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2015. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:37 UTC |
PRUZAN JONATHANChief Financial Officer
|
GrantCommon Stock | 31,691.39 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004570 · doc4.xml · nonDerivative · entry 1 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,478.414 F1 · kind: Restricted Stock Units granted in 2018 as part of 2017 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:38 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
Tax withholdingCommon Stock | 69,851 | $55.84 | $3,900,479.84 |
DisclosureSEC source: 0001209191-18-004573 · doc4.xml · nonDerivative · entry 2 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,297.078 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2015. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:38 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
GrantCommon Stock | 33,450.8 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004573 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 310,148.078 F1 · kind: Restricted Stock Units granted in 2018 as part of 2017 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:39 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 29,946 | $55.84 | $1,672,184.64 |
DisclosureSEC source: 0001209191-18-004574 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,095.326 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2015. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:39 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 29,052.28 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004574 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,041.326 F1 · kind: Restricted Stock Units granted in 2018 as part of 2017 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:40 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 22,381 | $55.84 | $1,249,755.04 |
DisclosureSEC source: 0001209191-18-004575 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,903.387 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2015. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:40 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 22,014.63 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004575 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,284.387 F1 · kind: Restricted Stock Units granted in 2018 as part of 2017 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:41 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Tax withholdingCommon Stock | 14,782 | $55.84 | $825,426.88 |
DisclosureSEC source: 0001209191-18-004576 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,275.028 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2015. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:41 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
GrantCommon Stock | 15,856.69 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004576 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,057.028 F1 · kind: Restricted Stock Units granted in 2018 as part of 2017 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:42 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 35,889 | $55.84 | $2,004,041.76 |
DisclosureSEC source: 0001209191-18-004578 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,284.884 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2015. Read SEC document |
| January 19, 2018 Filed Jan 19, 2018 21:42 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 33,626.74 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-004578 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,173.884 F1 · kind: Restricted Stock Units granted in 2018 as part of 2017 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 16, 2018 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 176.692 | $54.52 | $9,633.25 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 15 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,018,755.748 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 01, 2017 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 167.04 | $51.86 | $8,662.69 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 14 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,018,932.44 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 30, 2017 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.104 | $51.61 | $5.37 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 13 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,019,099.48 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 28, 2017 Filed Nov 30, 2017 21:05 UTC |
Hotsuki KeishiChief Risk Officer
|
SaleCommon Stock | 25,000 | $50.00 | $1,250,000.00 |
DisclosureSEC source: 0001209191-17-063014 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,270.168 Read SEC document |
| November 24, 2017 Filed Nov 27, 2017 21:39 UTC |
DARLING ALISTAIRDirector
|
SaleCommon Stock | 3,850 | $49.29 | $189,784.60 |
DisclosureSEC source: 0001209191-17-062581 · doc4.xml · nonDerivative · entry 1 DARLING ALISTAIR · CIK 0001662540 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,218.107 Read SEC document |
| November 22, 2017 Filed Nov 27, 2017 21:38 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,302.808 | $49.25 | $64,166.68 |
DisclosureSEC source: 0001209191-17-062578 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,335.409 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 22, 2017 Filed Nov 27, 2017 21:40 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,201.29 | $49.25 | $59,166.66 |
DisclosureSEC source: 0001209191-17-062583 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,616.011 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 22, 2017 Filed Nov 27, 2017 21:41 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 964.416 | $49.25 | $47,500.00 |
DisclosureSEC source: 0001209191-17-062585 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,286.344 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 22, 2017 Filed Nov 27, 2017 21:42 UTC |
OWENS JAMES WDirector
|
GrantCommon Stock | 1,032.094 | $49.25 | $50,833.31 |
DisclosureSEC source: 0001209191-17-062588 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,338.842 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 22, 2017 Filed Nov 27, 2017 21:44 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 1,167.451 | $49.25 | $57,500.00 |
DisclosureSEC source: 0001209191-17-062592 · doc4.xml · nonDerivative · entry 1 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,134.712 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 20, 2017 Filed Nov 30, 2017 21:05 UTC |
Hotsuki KeishiChief Risk Officer
|
GiftCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-063014 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 232,270.168 Read SEC document |
| October 23, 2017 Filed Oct 25, 2017 20:07 UTC |
KELLEHER THOMAS COLMPresident
|
SaleCommon Stock | 40,000 | $50.59 | $2,023,516.00 |
DisclosureSEC source: 0001209191-17-057937 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 692,037.296 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $50.40 to $50.74, 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 |
| October 18, 2017 Filed Oct 20, 2017 20:15 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
SaleCommon Stock | 16,397 | $50.07 | $821,024.03 |
DisclosureSEC source: 0001209191-17-057619 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,776.152 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.44 to $50.33, 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 |
| October 18, 2017 Filed Oct 20, 2017 20:16 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 26,083 | $49.83 | $1,299,637.64 |
DisclosureSEC source: 0001209191-17-057621 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,202.775 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $49.77 to $49.936, 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 |
| October 13, 2017 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 175.546 | $48.24 | $8,468.34 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 12 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,019,099.584 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 09, 2017 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.018 | $49.38 | $0.89 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 11 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,019,275.13 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 19, 2017 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 2,122.366 | $47.74 | $101,321.75 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 10 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,019,275.149 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 12, 2017 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.015 | $45.75 | $0.69 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 9 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.783 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 01, 2017 Filed Aug 3, 2017 20:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 212,366 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-17-047297 · doc4.xml · derivative · entry 6 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 212,366 shares Expires 2018-01-21 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: Options vested and became exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| August 01, 2017 Filed Aug 3, 2017 20:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 4,229 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-047297 · doc4.xml · nonDerivative · entry 3 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,386,014.105 Read SEC document |
| August 01, 2017 Filed Aug 3, 2017 20:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
SaleCommon Stock | 212,366 | $47.26 | $10,037,011.78 |
DisclosureSEC source: 0001209191-17-047297 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,390,243.105 F1 · shares: Shares sold in connection with an exercise of Employee Stock Options that expire on January 21, 2018. F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $47.20 to $47.35, 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 |
| August 01, 2017 Filed Aug 3, 2017 20:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Exercise / conversionCommon Stock | 212,366 | $30.01 | $6,373,103.66 |
DisclosureSEC source: 0001209191-17-047297 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,602,609.105 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 20, 2017 Filed Jul 21, 2017 20:05 UTC |
PRUZAN JONATHANChief Financial Officer
|
SaleCommon Stock | 25,767 | $46.68 | $1,202,834.48 |
DisclosureSEC source: 0001209191-17-045919 · doc4.xml · nonDerivative · entry 1 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,708.161 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $46.56 to $46.74, 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 |
| May 31, 2017 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.238 | $41.74 | $9.93 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 8 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.768 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 22, 2017 Filed May 24, 2017 20:13 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,737.451 | $41.73 | $72,500.01 |
DisclosureSEC source: 0001209191-17-034908 · doc4.xml · nonDerivative · entry 2 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,368.875 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.