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 |
|---|---|---|---|---|---|---|
| November 19, 2015 Filed Nov 20, 2015 21:55 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,388.812 | $34.20 | $47,500.01 |
DisclosureSEC source: 0001209191-15-081619 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,787.33 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 22:26 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 1,242.621 | $34.20 | $42,500.00 |
DisclosureSEC source: 0001209191-15-081657 · doc4.xml · nonDerivative · entry 1 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,767.01 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 |
| October 26, 2015 Filed Dec 2, 2015 22:06 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 50 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-082937 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,130,897.142 Read SEC document |
| July 31, 2015 Filed Aug 4, 2015 17:11 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 12,000 | $39.25 | $471,000.00 |
DisclosureSEC source: 0001209191-15-063718 · 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: 135,384 Read SEC document |
| July 23, 2015 Filed Aug 31, 2015 21:01 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
GiftCommon Stock | 14,909 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-068657 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 498,726.499 Read SEC document |
| July 23, 2015 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.039 | $40.53 | $1.58 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 16 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.094 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 21, 2015 Filed Jul 23, 2015 16:51 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
Tax withholdingCommon Stock | 15,555 | $40.04 | $622,822.20 |
DisclosureSEC source: 0001209191-15-062216 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 468,423.032 F1 · kind: Shares withheld to satisfy taxes upon conversion of previously granted restricted stock units to shares of Common Stock. Read SEC document |
| July 16, 2015 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.01 | $40.07 | $0.40 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 15 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.054 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 |
| June 01, 2015 Filed Jun 2, 2015 21:25 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 1,304 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-049076 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,129,968.068 Read SEC document |
| May 26, 2015 Filed May 27, 2015 17:57 UTC |
Nicolaisen Donald TDirector
|
SaleCommon Stock | 4,160 | $37.77 | $157,127.36 |
DisclosureSEC source: 0001209191-15-047213 · doc4.xml · nonDerivative · entry 1 Nicolaisen Donald T · CIK 0001345885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,871.829 Read SEC document |
| May 19, 2015 Filed May 21, 2015 16:36 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,488.126 | $38.64 | $57,500.00 |
DisclosureSEC source: 0001209191-15-045393 · doc4.xml · nonDerivative · entry 2 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,531.08 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 19, 2015 Filed May 21, 2015 16:36 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045393 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,042.954 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 19, 2015 Filed May 21, 2015 16:38 UTC |
DAVIES HOWARD JDirector
|
Tax withholdingCommon Stock | 4,792 | $38.64 | $185,159.05 |
DisclosureSEC source: 0001209191-15-045397 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,151.456 F1 · kind: Shares withheld to satisfy taxes upon the conversion of stock units granted to the Reporting Person under the Morgan Stanley Directors' Equity Capital Accumulation Plan as part of his director compensation. Read SEC document |
| May 19, 2015 Filed May 21, 2015 20:40 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,315.59 | $38.64 | $50,833.35 |
DisclosureSEC source: 0001209191-15-045399 · doc4.xml · nonDerivative · entry 2 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,741.9 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 19, 2015 Filed May 21, 2015 20:40 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045399 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,426.31 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 19, 2015 Filed May 21, 2015 20:41 UTC |
Herz Robert HDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045400 · doc4.xml · nonDerivative · entry 1 Herz Robert H · CIK 0001523753 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,930.824 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 19, 2015 Filed May 21, 2015 16:43 UTC |
KLEINFELD KLAUSDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045402 · doc4.xml · nonDerivative · entry 1 KLEINFELD KLAUS · CIK 0001268014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,121.285 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 19, 2015 Filed May 21, 2015 20:44 UTC |
Miscik Judith ADirector
|
GrantCommon Stock | 414.087 | $38.64 | $15,999.99 |
DisclosureSEC source: 0001209191-15-045404 · doc4.xml · nonDerivative · entry 2 Miscik Judith A · CIK 0001555318 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,487.185 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 19, 2015 Filed May 21, 2015 20:44 UTC |
Miscik Judith ADirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045404 · doc4.xml · nonDerivative · entry 1 Miscik Judith A · CIK 0001555318 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,073.098 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 19, 2015 Filed May 21, 2015 16:45 UTC |
Nicolaisen Donald TDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045406 · doc4.xml · nonDerivative · entry 1 Nicolaisen Donald T · CIK 0001345885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,031.829 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 19, 2015 Filed May 21, 2015 16:47 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,099.919 | $38.64 | $42,499.99 |
DisclosureSEC source: 0001209191-15-045407 · doc4.xml · nonDerivative · entry 2 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,396.936 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 19, 2015 Filed May 21, 2015 16:47 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045407 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,297.017 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 19, 2015 Filed May 21, 2015 16:48 UTC |
OWENS JAMES WDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045409 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,943.356 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 19, 2015 Filed May 21, 2015 20:51 UTC |
TRAQUINA PERRY MDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045417 · doc4.xml · nonDerivative · entry 1 TRAQUINA PERRY M · CIK 0001228062 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,470.113 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 19, 2015 Filed May 21, 2015 20:54 UTC |
WILKINS RAYFORD JRDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045419 · doc4.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,041.991 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 19, 2015 Filed May 21, 2015 20:53 UTC |
TYSON LAURA DDirector
|
GrantCommon Stock | 6,470.113 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-045418 · doc4.xml · nonDerivative · entry 1 TYSON LAURA D · CIK 0001183429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,549.383 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 15, 2015 Filed May 19, 2015 17:40 UTC |
DAVIES HOWARD JDirector
|
Tax withholdingCommon Stock | 262 | $37.88 | $9,924.01 |
DisclosureSEC source: 0001209191-15-044561 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,947.219 F1 · kind: Shares withheld to satisfy taxes upon the conversion of stock units granted to the reporting person under the Morgan Stanley Directors' Equity Capital Accumulation Plan as part of his director compensation. Read SEC document |
| May 13, 2015 Filed May 14, 2015 16:32 UTC |
DAVIES HOWARD JDirector
|
Tax withholdingCommon Stock | 860 | $37.71 | $32,434.21 |
DisclosureSEC source: 0001209191-15-042813 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,004.64 F1 · kind: Shares withheld to satisfy taxes upon the conversion of stock units granted to the reporting person under the Morgan Stanley Directors' Equity Capital Accumulation Plan as part of his director compensation. Read SEC document |
| May 11, 2015 Filed May 12, 2015 17:20 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 39,462 | $38.37 | $1,513,959.63 |
DisclosureSEC source: 0001209191-15-041806 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,582.466 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $38.36 to $38.375, 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 |
| April 29, 2015 Filed May 1, 2015 16:10 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
SaleCommon Stock | 32,833 | $36.72 | $1,205,627.76 |
DisclosureSEC source: 0001209191-15-037885 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 483,224.902 Read SEC document |
| April 22, 2015 Filed Jun 2, 2015 21:25 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 1,352 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-049076 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,130,296.952 Read SEC document |
| April 21, 2015 Filed Apr 21, 2015 21:14 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 34,481 | $37.10 | $1,279,314.06 |
DisclosureSEC source: 0001209191-15-035344 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,645.958 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $37.01 to $37.14, 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 |
| April 21, 2015 Filed Apr 21, 2015 17:17 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 50,030 | $37.10 | $1,856,113.00 |
DisclosureSEC source: 0001209191-15-035346 · 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: 147,384 Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 21:44 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 8,525 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020287 · doc4.xml · nonDerivative · entry 3 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,131,648.952 Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 21:44 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 63,362 | $35.79 | $2,267,725.98 |
DisclosureSEC source: 0001209191-15-020287 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,140,173.952 F3 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1). Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 21:44 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 113,510 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020287 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,203,535.952 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation. F2 · balance_after: Since the Reporting Person's last report, 13,636 shares of Common Stock previously reported as indirectly beneficially owned by grantor retained annuity trust were transferred back to the Reporting Person in satisfaction of an annuity payment. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:50 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
Tax withholdingCommon Stock | 51,296 | $35.79 | $1,835,883.84 |
DisclosureSEC source: 0001209191-15-020303 · doc4.xml · nonDerivative · entry 2 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 512,195.37 F2 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1). Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:50 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
GrantCommon Stock | 99,468 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020303 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 563,491.37 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:51 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
Tax withholdingCommon Stock | 46,553 | $35.79 | $1,666,131.87 |
DisclosureSEC source: 0001209191-15-020306 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 516,057.902 F2 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1). Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:51 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
GrantCommon Stock | 99,047 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020306 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 562,610.902 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 21:53 UTC |
Porat RuthChief Financial Officer
|
Tax withholdingCommon Stock | 52,257 | $35.79 | $1,870,278.03 |
DisclosureSEC source: 0001209191-15-020311 · doc4.xml · nonDerivative · entry 2 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 881,037.254 F2 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1). Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 21:53 UTC |
Porat RuthChief Financial Officer
|
GrantCommon Stock | 93,616 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020311 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 933,294.254 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:54 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 37,482 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020313 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,389.492 F3 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:54 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 47,358 | $35.79 | $1,694,942.82 |
DisclosureSEC source: 0001209191-15-020313 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,871.492 F2 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1). Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:54 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantCommon Stock | 84,840 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020313 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,229.492 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 21:56 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 10,260 | $35.79 | $367,205.40 |
DisclosureSEC source: 0001209191-15-020317 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,126.958 F2 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1). Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 21:56 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 19,893 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020317 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,386.958 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:57 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 26,430 | $35.79 | $945,929.70 |
DisclosureSEC source: 0001209191-15-020322 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,487.777 F2 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (1). Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:57 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 51,248 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020322 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,917.777 F1 · kind: Shares earned based on the Company's achievement of pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 20, 2012 as part of 2011 year-end compensation. Read SEC document |
| March 02, 2015 Filed Mar 2, 2015 16:59 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 11,768 | $35.79 | $421,176.72 |
DisclosureSEC source: 0001209191-15-020324 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 219,044.466 F2 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 20, 2012 and earned on March 2, 2015 as described in footnote (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.