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 |
|---|---|---|---|---|---|---|
| October 27, 2016 Filed Oct 31, 2016 20:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Exercise / conversionCommon Stock | 74,009 | $22.98 | $1,700,726.82 |
DisclosureSEC source: 0001209191-16-147425 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,042.727 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 |
| October 26, 2016 Filed Dec 2, 2016 21:08 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 9,791 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-152993 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,356,400.925 Read SEC document |
| October 24, 2016 Filed Oct 22, 2020 00:41 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.053 | $33.49 | $1.77 |
DisclosureSEC source: 0000899243-20-028927 · 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: 432,017,152.501 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 20:35 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 247,570 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-16-146745 · 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 · 247,570 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 |
| October 21, 2016 Filed Oct 24, 2016 20:35 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 220,400 | $33.22 | $7,322,349.20 |
DisclosureSEC source: 0001209191-16-146745 · 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 $33.16 to $33.295, 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 21, 2016 Filed Oct 24, 2016 20:35 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Exercise / conversionCommon Stock | 247,570 | $22.98 | $5,689,158.60 |
DisclosureSEC source: 0001209191-16-146745 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 428,836.412 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 |
| October 20, 2016 Filed Oct 24, 2016 20:32 UTC |
KELLEHER THOMAS COLMPresident
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 222,712 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-16-146731 · doc4.xml · derivative · entry 3 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,713 Underlying: Common Stock · 222,712 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 |
| October 20, 2016 Filed Oct 24, 2016 20:32 UTC |
KELLEHER THOMAS COLMPresident
|
SaleCommon Stock | 222,712 | $32.90 | $7,328,026.56 |
DisclosureSEC source: 0001209191-16-146731 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 640,621.921 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.59 to $33.15, 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 20, 2016 Filed Oct 24, 2016 20:32 UTC |
KELLEHER THOMAS COLMPresident
|
Exercise / conversionCommon Stock | 222,712 | $22.98 | $5,117,921.76 |
DisclosureSEC source: 0001209191-16-146731 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 863,333.921 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 |
| October 20, 2016 Filed Oct 24, 2016 20:34 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 200,000 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-16-146744 · doc4.xml · derivative · entry 6 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,009 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. F3 · derivative.exercise_date: Options vested and became exercisable in three equal annual installments beginning on January 27, 2014. Read SEC document |
| October 20, 2016 Filed Oct 24, 2016 20:34 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 11,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-146744 · 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 20, 2016 Filed Oct 24, 2016 20:34 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 189,000 | $32.85 | $6,207,875.10 |
DisclosureSEC source: 0001209191-16-146744 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,033.727 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.78 to $32.95, 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 20, 2016 Filed Oct 24, 2016 20:34 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Exercise / conversionCommon Stock | 200,000 | $22.98 | $4,596,000.00 |
DisclosureSEC source: 0001209191-16-146744 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 372,033.727 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 |
| October 19, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.06 | $32.93 | $1.98 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 30 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.448 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 15, 2016 Filed Dec 22, 2016 21:05 UTC |
KLEINFELD KLAUSDirector
|
GiftCommon Stock | 1,590 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-156477 · doc4.xml · nonDerivative · entry 1 KLEINFELD KLAUS · CIK 0001268014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,952.165 Read SEC document |
| August 30, 2016 Filed Sep 1, 2016 20:11 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 397 | $31.71 | $12,586.89 |
DisclosureSEC source: 0001209191-16-139440 · 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 Read SEC document |
| August 30, 2016 Filed Sep 1, 2016 20:11 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 18,532 | $31.70 | $587,464.40 |
DisclosureSEC source: 0001209191-16-139440 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,747.662 Read SEC document |
| August 17, 2016 Filed Aug 18, 2016 20:14 UTC |
Hotsuki KeishiChief Risk Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 230,870 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-16-137764 · doc4.xml · derivative · entry 4 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 230,870 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 |
| August 17, 2016 Filed Aug 18, 2016 20:14 UTC |
Hotsuki KeishiChief Risk Officer
|
SaleCommon Stock | 15,582 | $30.25 | $471,355.50 |
DisclosureSEC source: 0001209191-16-137764 · doc4.xml · nonDerivative · entry 3 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,738.504 Read SEC document |
| August 17, 2016 Filed Aug 18, 2016 20:14 UTC |
Hotsuki KeishiChief Risk Officer
|
SaleCommon Stock | 230,870 | $30.27 | $6,987,626.86 |
DisclosureSEC source: 0001209191-16-137764 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,320.504 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30.25 to $30.37, 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 17, 2016 Filed Aug 18, 2016 20:14 UTC |
Hotsuki KeishiChief Risk Officer
|
Exercise / conversionCommon Stock | 230,870 | $22.98 | $5,305,392.60 |
DisclosureSEC source: 0001209191-16-137764 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 455,190.504 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 |
| August 16, 2016 Filed Aug 17, 2016 20:43 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 20,000 | $30.20 | $604,000.00 |
DisclosureSEC source: 0001209191-16-137544 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 214,279.662 Read SEC document |
| August 03, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.059 | $28.42 | $1.68 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 29 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.389 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| August 02, 2016 Filed Aug 4, 2016 20:21 UTC |
Nicolaisen Donald TDirector
|
SaleCommon Stock | 1,902 | $27.88 | $53,029.66 |
DisclosureSEC source: 0001209191-16-135497 · doc4.xml · nonDerivative · entry 2 Nicolaisen Donald T · CIK 0001345885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,802.091 Read SEC document |
| August 02, 2016 Filed Aug 4, 2016 20:21 UTC |
Nicolaisen Donald TDirector
|
SaleCommon Stock | 1,400 | $27.88 | $39,032.14 |
DisclosureSEC source: 0001209191-16-135497 · doc4.xml · nonDerivative · entry 1 Nicolaisen Donald T · CIK 0001345885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,704.091 Read SEC document |
| July 26, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.104 | $29.23 | $3.04 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 28 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.329 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| July 25, 2016 Filed Jul 27, 2016 20:53 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-16-134111 · doc4.xml · derivative · entry 6 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,009 Underlying: Common Stock · 100,000 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. F3 · derivative.exercise_date: Options vested and became exercisable in three equal annual installments beginning on January 27, 2014. Read SEC document |
| July 25, 2016 Filed Jul 27, 2016 20:53 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 8,574 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-134111 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,879.647 F2 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| July 25, 2016 Filed Jul 27, 2016 20:53 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 91,426 | $29.06 | $2,657,086.41 |
DisclosureSEC source: 0001209191-16-134111 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,453.647 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.04 to $29.075, 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 |
| July 25, 2016 Filed Jul 27, 2016 20:53 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Exercise / conversionCommon Stock | 100,000 | $22.98 | $2,298,000.00 |
DisclosureSEC source: 0001209191-16-134111 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 270,879.647 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 25, 2016 Filed Sep 1, 2016 20:13 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 100 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-139442 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,366,191.925 Read SEC document |
| July 21, 2016 Filed Jul 22, 2016 20:40 UTC |
KELLEHER THOMAS COLMPresident
|
Tax withholdingCommon Stock | 20,411 | $28.78 | $587,428.58 |
DisclosureSEC source: 0001209191-16-133724 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 639,429.12 F1 · kind: Shares withheld to satisfy taxes upon conversion of previously granted restricted stock units to shares of Common Stock. Read SEC document |
| July 21, 2016 Filed Jul 22, 2016 20:41 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
SaleCommon Stock | 9,955 | $28.84 | $287,084.28 |
DisclosureSEC source: 0001209191-16-133725 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,754.976 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.66 to $29.08, 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 |
| July 21, 2016 Filed Jul 22, 2016 20:41 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
SaleCommon Stock | 10,000 | $28.75 | $287,500.00 |
DisclosureSEC source: 0001209191-16-133725 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,709.976 Read SEC document |
| July 13, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.035 | $27.18 | $0.95 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 27 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.226 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 31, 2016 Filed Jun 1, 2016 21:31 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 3,627 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-124729 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,363,604.559 F1 · balance_after: Since the Reporting Person's last report, 21,922 shares of Common Stock previously reported as indirectly beneficially owned by a grantor retained annuity trust (GRAT) were transferred back to the Reporting Person in satisfaction of an annuity payment, and the Reporting Person contributed 40,115 shares to a GRAT. Read SEC document |
| May 31, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.1 | $27.72 | $2.77 |
DisclosureSEC source: 0000899243-20-028926 · 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: 432,017,152.191 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 31, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.018 | $27.37 | $0.49 |
DisclosureSEC source: 0000899243-20-028926 · 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: 432,017,152.291 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 25, 2016 Filed May 26, 2016 20:37 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 24,952 | $28.21 | $703,870.97 |
DisclosureSEC source: 0001209191-16-123598 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 180,211.841 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $28.19 to $28.245 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 17, 2016 Filed May 19, 2016 20:24 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 2,381.361 | $26.25 | $62,500.01 |
DisclosureSEC source: 0001209191-16-121678 · doc4.xml · nonDerivative · entry 2 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,894.17 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 |
| May 17, 2016 Filed May 19, 2016 20:24 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121678 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,512.809 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 17, 2016 Filed May 19, 2016 20:26 UTC |
DARLING ALISTAIRDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121680 · doc4.xml · nonDerivative · entry 1 DARLING ALISTAIR · CIK 0001662540 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,787.579 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 17, 2016 Filed May 19, 2016 20:28 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 2,000 | $26.25 | $52,491.00 |
DisclosureSEC source: 0001209191-16-121684 · doc4.xml · nonDerivative · entry 2 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,443.417 F2 · kind: Shares of Common Stock 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. Read SEC document |
| May 17, 2016 Filed May 19, 2016 20:28 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121684 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,443.417 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 17, 2016 Filed May 19, 2016 20:29 UTC |
Herz Robert HDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121685 · doc4.xml · nonDerivative · entry 1 Herz Robert H · CIK 0001523753 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,039.374 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 17, 2016 Filed May 19, 2016 20:29 UTC |
KLEINFELD KLAUSDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121688 · doc4.xml · nonDerivative · entry 1 KLEINFELD KLAUS · CIK 0001268014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,166.489 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 17, 2016 Filed May 19, 2016 20:29 UTC |
Miscik Judith ADirector
|
GrantCommon Stock | 723.934 | $26.25 | $19,000.01 |
DisclosureSEC source: 0001209191-16-121689 · doc4.xml · nonDerivative · entry 2 Miscik Judith A · CIK 0001555318 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,494.583 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 |
| May 17, 2016 Filed May 19, 2016 20:29 UTC |
Miscik Judith ADirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121689 · doc4.xml · nonDerivative · entry 1 Miscik Judith A · CIK 0001555318 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,770.649 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 17, 2016 Filed May 19, 2016 20:30 UTC |
Nicolaisen Donald TDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121693 · doc4.xml · nonDerivative · entry 1 Nicolaisen Donald T · CIK 0001345885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,104.606 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 17, 2016 Filed May 19, 2016 20:31 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,809.834 | $26.25 | $47,500.00 |
DisclosureSEC source: 0001209191-16-121696 · doc4.xml · nonDerivative · entry 2 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,628.029 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.