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 18, 2017 Filed Jan 20, 2017 21:08 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
Tax withholdingCommon Stock | 30,887 | $42.15 | $1,301,887.05 |
DisclosureSEC source: 0001209191-17-004818 · doc4.xml · nonDerivative · entry 2 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,960.716 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:08 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
GrantCommon Stock | 38,726.28 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-004818 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,848.354 F1 · kind: Restricted Stock Units granted in 2017 as part of 2016 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:09 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 18,191 | $42.15 | $766,750.65 |
DisclosureSEC source: 0001209191-17-004820 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,908.537 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:09 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 32,863.11 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-004820 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 242,099.924 F1 · kind: Restricted Stock Units granted in 2017 as part of 2016 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:10 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 13,334 | $42.15 | $562,028.10 |
DisclosureSEC source: 0001209191-17-004822 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 220,679.313 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:10 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 24,654.66 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-004822 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,013.485 F1 · kind: Restricted Stock Units granted in 2017 as part of 2016 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:11 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Tax withholdingCommon Stock | 9,243 | $42.15 | $389,592.45 |
DisclosureSEC source: 0001209191-17-004825 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,154.899 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:11 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
GrantCommon Stock | 17,618.85 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-004825 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,398.213 F1 · kind: Restricted Stock Units granted in 2017 as part of 2016 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:13 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 15,130 | $42.15 | $637,729.50 |
DisclosureSEC source: 0001209191-17-004829 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,038.349 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 18, 2017 Filed Jan 20, 2017 21:13 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 44,823.99 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-17-004829 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,169.3 F1 · kind: Restricted Stock Units granted in 2017 as part of 2016 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 13, 2017 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.062 | $44.28 | $2.75 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 5 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.528 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 07, 2016 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.017 | $42.64 | $0.72 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 4 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.466 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, 2016 Filed Dec 2, 2016 21:06 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 121,351 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-16-152985 · doc4.xml · derivative · entry 4 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 121,351 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. F2 · derivative.exercise_date: Options vested and became exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| December 01, 2016 Filed Dec 2, 2016 21:06 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
SaleCommon Stock | 121,351 | $42.05 | $5,102,918.77 |
DisclosureSEC source: 0001209191-16-152985 · doc4.xml · nonDerivative · entry 2 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,122.074 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $42 to $42.12, 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 |
| December 01, 2016 Filed Dec 2, 2016 21:06 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
Exercise / conversionCommon Stock | 121,351 | $30.01 | $3,641,743.51 |
DisclosureSEC source: 0001209191-16-152985 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,473.074 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 |
| November 30, 2016 Filed Dec 2, 2016 21:08 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
SaleCommon Stock | 100,000 | $41.38 | $4,138,100.00 |
DisclosureSEC source: 0001209191-16-152993 · doc4.xml · nonDerivative · entry 4 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,229,407.591 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $41.30 to $41.50, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 30, 2016 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.076 | $41.35 | $3.14 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 3 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.483 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 22, 2016 Filed Dec 2, 2016 21:08 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 13,627 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-152993 · doc4.xml · nonDerivative · entry 3 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,329,407.591 Read SEC document |
| November 18, 2016 Filed Nov 21, 2016 21:06 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 121,351 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-16-151424 · doc4.xml · derivative · entry 6 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 121,351 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 |
| November 18, 2016 Filed Nov 21, 2016 21:06 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 10,151 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-151424 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,909.654 F2 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| November 18, 2016 Filed Nov 21, 2016 21:06 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 111,200 | $40.34 | $4,485,429.92 |
DisclosureSEC source: 0001209191-16-151424 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,060.654 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $40.28 to $40.42, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 18, 2016 Filed Nov 21, 2016 21:06 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Exercise / conversionCommon Stock | 121,351 | $30.01 | $3,641,743.51 |
DisclosureSEC source: 0001209191-16-151424 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 294,260.654 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 |
| November 18, 2016 Filed Dec 2, 2016 21:08 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 15,406 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-152993 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,343,034.591 Read SEC document |
| November 17, 2016 Filed Nov 18, 2016 21:05 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,699.819 | $39.71 | $67,499.98 |
DisclosureSEC source: 0001209191-16-151192 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,315.248 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 17, 2016 Filed Nov 18, 2016 21:07 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,322.082 | $39.71 | $52,500.01 |
DisclosureSEC source: 0001209191-16-151194 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,251.471 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 17, 2016 Filed Nov 18, 2016 21:08 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,196.169 | $39.71 | $47,499.99 |
DisclosureSEC source: 0001209191-16-151196 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,423.504 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 17, 2016 Filed Nov 18, 2016 21:09 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 1,070.257 | $39.71 | $42,500.01 |
DisclosureSEC source: 0001209191-16-151203 · doc4.xml · nonDerivative · entry 1 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,303.845 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 14, 2016 Filed Nov 16, 2016 21:10 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 60,675 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-16-150498 · doc4.xml · derivative · entry 4 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,675 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. F2 · derivative.exercise_date: Options vested and became exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 21:10 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
SaleCommon Stock | 60,675 | $39.12 | $2,373,502.85 |
DisclosureSEC source: 0001209191-16-150498 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,337.351 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $39.03 to $39.33, 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 |
| November 14, 2016 Filed Nov 16, 2016 21:10 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Exercise / conversionCommon Stock | 60,675 | $30.01 | $1,820,856.75 |
DisclosureSEC source: 0001209191-16-150498 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,012.351 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 |
| November 14, 2016 Filed Nov 16, 2016 21:11 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 60,675 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-16-150499 · doc4.xml · derivative · entry 3 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,675 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. F2 · derivative.exercise_date: Options vested and became exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 21:11 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 60,675 | $39.00 | $2,366,379.61 |
DisclosureSEC source: 0001209191-16-150499 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,350.662 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $38.99 to $39.03, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 14, 2016 Filed Nov 16, 2016 21:11 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Exercise / conversionCommon Stock | 60,675 | $30.01 | $1,820,856.75 |
DisclosureSEC source: 0001209191-16-150499 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 256,025.662 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 |
| November 11, 2016 Filed Nov 14, 2016 23:16 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 60,675 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-16-149919 · doc4.xml · derivative · entry 3 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,675 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. F2 · derivative.exercise_date: Options vested and became exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 23:16 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 60,675 | $37.84 | $2,296,063.35 |
DisclosureSEC source: 0001209191-16-149919 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,436.412 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $37.77 to $37.925, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 23:16 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Exercise / conversionCommon Stock | 60,675 | $30.01 | $1,820,856.75 |
DisclosureSEC source: 0001209191-16-149919 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,111.412 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 |
| November 11, 2016 Filed Nov 14, 2016 23:18 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-16-149925 · doc4.xml · derivative · entry 5 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,827 Underlying: Common Stock · 200,000 shares Expires 2018-01-22 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. F2 · derivative.exercise_date: Options vested and became exercisable in three equal annual installments beginning on January 27, 2014. Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 23:18 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
SaleCommon Stock | 200,000 | $37.70 | $7,540,460.00 |
DisclosureSEC source: 0001209191-16-149925 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,366,191.925 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $37.56 to $37.88, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 11, 2016 Filed Nov 14, 2016 23:18 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Exercise / conversionCommon Stock | 200,000 | $22.98 | $4,596,000.00 |
DisclosureSEC source: 0001209191-16-149925 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,566,191.925 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 |
| November 10, 2016 Filed Nov 10, 2016 21:26 UTC |
SIMKOWITZ DANIEL AHead of Investment Management
|
SaleCommon Stock | 60,119 | $37.56 | $2,257,961.43 |
DisclosureSEC source: 0001209191-16-149354 · doc4.xml · nonDerivative · entry 1 SIMKOWITZ DANIEL A · CIK 0001680385 · Head of Investment Management 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 262,784.081 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $37.24 to $38, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 23:17 UTC |
KELLEHER THOMAS COLMPresident
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 222,713 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-16-149921 · doc4.xml · derivative · entry 4 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 222,713 shares Expires 2018-01-22 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 January 27, 2014. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 23:17 UTC |
KELLEHER THOMAS COLMPresident
|
SaleCommon Stock | 64,127 | $38.71 | $2,482,285.63 |
DisclosureSEC source: 0001209191-16-149921 · doc4.xml · nonDerivative · entry 3 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 644,040.921 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $38.56 to $38.93, inclusive. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 23:17 UTC |
KELLEHER THOMAS COLMPresident
|
SaleCommon Stock | 155,167 | $37.92 | $5,884,134.36 |
DisclosureSEC source: 0001209191-16-149921 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 708,167.921 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $37.56 to $38.55, 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 ranges set forth in footnotes (1) and (2) of this Form 4. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 23:17 UTC |
KELLEHER THOMAS COLMPresident
|
Exercise / conversionCommon Stock | 222,713 | $22.98 | $5,117,944.74 |
DisclosureSEC source: 0001209191-16-149921 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 863,334.921 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 |
| November 08, 2016 Filed Nov 9, 2016 21:15 UTC |
PRUZAN JONATHANChief Financial Officer
|
SaleCommon Stock | 44,625 | $33.90 | $1,512,667.01 |
DisclosureSEC source: 0001209191-16-149051 · doc4.xml · nonDerivative · entry 1 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,813.968 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $33.78 to $34.11, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 08, 2016 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.058 | $34.10 | $1.98 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 2 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.559 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| November 01, 2016 Filed Nov 3, 2016 20:04 UTC |
NALLY DENNIS MDirector
|
GrantCommon Stock | 4,378.406 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-148135 · doc4.xml · nonDerivative · entry 1 NALLY DENNIS M · CIK 0001685596 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,378.406 F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| October 27, 2016 Filed Oct 31, 2016 20:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 74,009 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-16-147425 · doc4.xml · derivative · entry 6 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 74,009 shares Expires 2018-01-22 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 January 27, 2014. Read SEC document |
| October 27, 2016 Filed Oct 31, 2016 20:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 7,509 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-147425 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,033.727 F2 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| October 27, 2016 Filed Oct 31, 2016 20:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 66,500 | $33.89 | $2,253,977.60 |
DisclosureSEC source: 0001209191-16-147425 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,542.727 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $33.89 to $33.91, 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.