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 |
|---|---|---|---|---|---|---|
| May 17, 2016 Filed May 19, 2016 20:31 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121696 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,818.195 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 |
OWENS JAMES WDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121698 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,461.214 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 20:32 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 1,619.325 | $26.25 | $42,499.99 |
DisclosureSEC source: 0001209191-16-121700 · doc4.xml · nonDerivative · entry 2 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,007.785 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 20:32 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121700 · doc4.xml · nonDerivative · entry 1 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,388.46 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 20:32 UTC |
WILKINS RAYFORD JRDirector
|
GrantCommon Stock | 9,525.442 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-121701 · doc4.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,865.097 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 |
| April 11, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.026 | $24.14 | $0.63 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 24 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.274 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| April 01, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.039 | $25.04 | $0.98 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 23 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.299 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| March 03, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.113 | $25.99 | $2.94 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 22 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.339 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| March 02, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.014 | $25.99 | $0.36 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 21 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 |
| February 26, 2016 Filed Mar 1, 2016 21:48 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 50,000 | $25.13 | $1,256,350.00 |
DisclosureSEC source: 0001209191-16-104007 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Revocable Trust Disclosed balance after: 170,197 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.04 to $25.24, 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 25, 2016 Filed Feb 26, 2016 21:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 123,478 | $23.71 | $2,927,663.38 |
DisclosureSEC source: 0001209191-16-102816 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,383,156.02 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 31, 2013 and earned on February 25, 2016 as described in footnote (1). Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 221,210 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102816 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,506,634.02 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 31, 2013. Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:07 UTC |
KELLEHER THOMAS COLMPresident
|
Tax withholdingCommon Stock | 83,174 | $23.71 | $1,972,055.54 |
DisclosureSEC source: 0001209191-16-102820 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 658,586.487 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 31, 2013 and earned on February 25, 2016 as described in footnote (1). Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:07 UTC |
KELLEHER THOMAS COLMPresident
|
GrantCommon Stock | 176,968 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102820 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 741,760.487 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 31, 2013. Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 71,670 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102823 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,905.432 F3 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 90,550 | $23.71 | $2,146,940.50 |
DisclosureSEC source: 0001209191-16-102823 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 241,575.432 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 31, 2013 and earned on February 25, 2016 as described in footnote (1). Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantCommon Stock | 162,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102823 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 332,125.432 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 31, 2013. Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:08 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 36,503 | $23.71 | $865,486.13 |
DisclosureSEC source: 0001209191-16-102826 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,273.626 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 31, 2013 and earned on February 25, 2016 as described in footnote (1). Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:08 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 70,786 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102826 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,776.626 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 31, 2013. Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:10 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 30,419 | $23.71 | $721,234.49 |
DisclosureSEC source: 0001209191-16-102832 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 222,813.27 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 31, 2013 and earned on February 25, 2016 as described in footnote (1). Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:10 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 58,989 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102832 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 253,232.27 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 31, 2013. Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:11 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Tax withholdingCommon Stock | 24,335 | $23.71 | $576,982.85 |
DisclosureSEC source: 0001209191-16-102836 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,218.364 F2 · kind: Shares withheld to satisfy taxes upon the conversion of LTIP Awards granted on January 31, 2013 and earned on February 25, 2016 as described in footnote (1). Read SEC document |
| February 25, 2016 Filed Feb 26, 2016 21:11 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
GrantCommon Stock | 47,191 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-102836 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,553.364 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of long-term incentive program awards ("LTIP Awards") granted on January 31, 2013. Read SEC document |
| February 18, 2016 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.069 | $24.06 | $1.66 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 20 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.24 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| February 01, 2016 Filed Feb 2, 2016 21:36 UTC |
DARLING ALISTAIRDirector
|
GrantCommon Stock | 3,243.539 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-094783 · doc4.xml · nonDerivative · entry 1 DARLING ALISTAIR · CIK 0001662540 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,243.539 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 |
| January 20, 2016 Filed Jan 22, 2016 21:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 17,067 | $26.26 | $448,179.42 |
DisclosureSEC source: 0001209191-16-093094 · doc4.xml · nonDerivative · entry 3 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,282,928.157 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 183,678.29 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093094 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,299,995.204 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 12,177 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093094 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,116,316.914 Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:07 UTC |
KELLEHER THOMAS COLMPresident
|
Tax withholdingCommon Stock | 31,718 | $26.26 | $832,914.68 |
DisclosureSEC source: 0001209191-16-093096 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,413.205 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014 and January 21, 2015. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:07 UTC |
KELLEHER THOMAS COLMPresident
|
GrantCommon Stock | 125,383.69 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093096 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 595,132.53 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:08 UTC |
PRUZAN JONATHANChief Financial Officer
|
Tax withholdingCommon Stock | 44,496 | $26.26 | $1,168,464.96 |
DisclosureSEC source: 0001209191-16-093097 · doc4.xml · nonDerivative · entry 2 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,517.45 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 22, 2013 and January 21, 2014. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:08 UTC |
PRUZAN JONATHANChief Financial Officer
|
GrantCommon Stock | 55,215.73 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093097 · doc4.xml · nonDerivative · entry 1 PRUZAN JONATHAN · CIK 0001640050 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 296,014.001 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:09 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 13,143 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093099 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,833.592 F3 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:09 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 9,434 | $26.26 | $247,736.84 |
DisclosureSEC source: 0001209191-16-093099 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,976.592 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:09 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantCommon Stock | 69,530.74 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093099 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 191,410.924 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:10 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 7,625 | $26.26 | $200,232.50 |
DisclosureSEC source: 0001209191-16-093103 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,011.205 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:10 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 50,473.07 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093103 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,636.648 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:12 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 5,924 | $26.26 | $155,564.24 |
DisclosureSEC source: 0001209191-16-093105 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,484.206 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2014. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:12 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 39,753.12 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093105 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 199,408.85 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:14 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 27,043 | $26.26 | $710,149.18 |
DisclosureSEC source: 0001209191-16-093109 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,645.792 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 22, 2013 and January 21, 2014. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:14 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 75,883.3 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093109 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 257,689.401 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:13 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
Tax withholdingCommon Stock | 15,330 | $26.26 | $402,565.80 |
DisclosureSEC source: 0001209191-16-093108 · doc4.xml · nonDerivative · entry 2 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,821.489 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 22, 2013 and January 21, 2014. Read SEC document |
| January 20, 2016 Filed Jan 22, 2016 21:13 UTC |
BRODSKY JEFFREY SChief Human Resources Officer
|
GrantCommon Stock | 27,842.08 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-16-093108 · doc4.xml · nonDerivative · entry 1 BRODSKY JEFFREY S · CIK 0001663751 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,152.947 F1 · kind: Restricted Stock Units granted in 2016 as part of 2015 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| December 16, 2015 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.008 | $33.35 | $0.27 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 19 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.171 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 14, 2015 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.049 | $31.77 | $1.56 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 18 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.163 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 14, 2015 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.118 | $32.33 | $3.81 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 17 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.212 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, 2015 Filed Dec 2, 2015 22:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 3,498 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-082937 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,128,493.914 Read SEC document |
| November 19, 2015 Filed Nov 20, 2015 21:50 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,754.289 | $34.20 | $60,000.02 |
DisclosureSEC source: 0001209191-15-081610 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,363.571 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 19, 2015 Filed Nov 20, 2015 21:54 UTC |
Miscik Judith ADirector
|
GrantCommon Stock | 555.525 | $34.20 | $19,000.01 |
DisclosureSEC source: 0001209191-15-081616 · doc4.xml · nonDerivative · entry 1 Miscik Judith A · CIK 0001555318 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,130.682 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 19, 2015 Filed Nov 20, 2015 21:52 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,535 | $34.20 | $52,499.92 |
DisclosureSEC source: 0001209191-15-081614 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,534.784 F1 · 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.