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 |
|---|---|---|---|---|---|---|
| March 02, 2015 Filed Mar 2, 2015 16:59 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 22,818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-020324 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 230,812.466 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 |
| February 26, 2015 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.015 | $36.33 | $0.54 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 14 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.045 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 |
| January 23, 2015 Filed Jan 23, 2015 16:23 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 20,100 | $35.45 | $712,545.00 |
DisclosureSEC source: 0001209191-15-006188 · doc4.xml · nonDerivative · entry 5 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,509.266 Read SEC document |
| January 23, 2015 Filed Jan 23, 2015 16:23 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 1,400 | $35.46 | $49,644.00 |
DisclosureSEC source: 0001209191-15-006188 · doc4.xml · nonDerivative · entry 4 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 227,609.266 Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 21:14 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 94,613 | $34.75 | $3,287,801.75 |
DisclosureSEC source: 0001209191-15-006180 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,075,724.664 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 21:14 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 127,883.96 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006180 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,170,339.244 F1 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:15 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
Tax withholdingCommon Stock | 60,269 | $34.75 | $2,094,347.75 |
DisclosureSEC source: 0001209191-15-006181 · doc4.xml · nonDerivative · entry 2 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 463,533.091 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:15 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
GrantCommon Stock | 84,048.03 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006181 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 523,802.696 F1 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:17 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
Tax withholdingCommon Stock | 42,903 | $34.75 | $1,490,879.25 |
DisclosureSEC source: 0001209191-15-006182 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 463,049.513 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:17 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
GrantCommon Stock | 103,492.11 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006182 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 505,953.868 F1 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 21:18 UTC |
Porat RuthChief Financial Officer
|
Tax withholdingCommon Stock | 73,366 | $34.75 | $2,549,468.50 |
DisclosureSEC source: 0001209191-15-006183 · doc4.xml · nonDerivative · entry 2 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 839,156.794 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012, January 22, 2013 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 21:18 UTC |
Porat RuthChief Financial Officer
|
GrantCommon Stock | 63,575.84 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006183 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 912,524.21 F1 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:19 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 52,089 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006184 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,064.221 F3 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:19 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 52,533 | $34.75 | $1,825,521.75 |
DisclosureSEC source: 0001209191-15-006184 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 172,153.221 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:19 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantCommon Stock | 53,339.74 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006184 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,687.689 F1 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 21:21 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 20,560 | $34.75 | $714,460.00 |
DisclosureSEC source: 0001209191-15-006185 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 149,162.812 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 21:21 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 62,303.56 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006185 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,723.951 F1 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:22 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 29,698 | $34.75 | $1,032,005.50 |
DisclosureSEC source: 0001209191-15-006186 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,414.928 F2 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:22 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 47,730.13 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006186 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,113.776 F1 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:23 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 32,339 | $34.75 | $1,123,780.25 |
DisclosureSEC source: 0001209191-15-006188 · doc4.xml · nonDerivative · entry 3 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,009.266 F3 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 20, 2012, January 22, 2013 and January 21, 2014. Read SEC document |
| January 21, 2015 Filed Jan 23, 2015 16:23 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 77,929.5 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-15-006188 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,349.939 F2 · kind: Restricted Stock Units granted in 2015 as part of 2014 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| December 16, 2014 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.044 | $35.59 | $1.57 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 13 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.03 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 11, 2014 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.114 | $37.68 | $4.30 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 12 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.074 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 04, 2014 Filed Jan 23, 2015 16:23 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 1,468 | $35.56 | $52,194.74 |
DisclosureSEC source: 0001209191-15-006188 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,420.439 F1 · kind: Shares withheld to satisfy taxes upon the vesting of Restricted Stock Units granted on January 20, 2012. Read SEC document |
| December 01, 2014 Filed Dec 2, 2014 22:31 UTC |
Miscik Judith ADirector
|
GrantCommon Stock | 3,579.078 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-072428 · doc4.xml · nonDerivative · entry 1 Miscik Judith A · CIK 0001555318 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,579.078 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 |
| November 26, 2014 Filed Nov 26, 2014 21:18 UTC |
TYSON LAURA DDirector
|
SaleCommon Stock | 25,000 | $35.30 | $882,435.00 |
DisclosureSEC source: 0001209191-14-071522 · doc4.xml · nonDerivative · entry 1 TYSON LAURA D · CIK 0001183429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,790.539 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $35.18 to $35.35, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| November 20, 2014 Filed Dec 1, 2014 22:40 UTC |
Porat RuthChief Financial Officer
|
GiftCommon Stock | 197 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-071998 · doc4.xml · nonDerivative · entry 3 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 848,948.37 Read SEC document |
| November 19, 2014 Filed Dec 1, 2014 22:40 UTC |
Porat RuthChief Financial Officer
|
GiftCommon Stock | 1,014 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-071998 · doc4.xml · nonDerivative · entry 2 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 849,145.37 Read SEC document |
| November 19, 2014 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.006 | $35.36 | $0.21 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 11 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.187 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| November 18, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 39,000 | $1.01 | $39,351.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 0 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| November 15, 2014 Filed Nov 18, 2014 16:51 UTC |
DAVIES HOWARD JDirector
|
Tax withholdingCommon Stock | 421 | $35.77 | $15,061.15 |
DisclosureSEC source: 0001209191-14-069680 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,724.523 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 |
| November 13, 2014 Filed Nov 14, 2014 17:28 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,605.939 | $35.80 | $57,500.00 |
DisclosureSEC source: 0001209191-14-068929 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,443.429 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 13, 2014 Filed Nov 14, 2014 22:31 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,256.822 | $35.80 | $45,000.01 |
DisclosureSEC source: 0001209191-14-068936 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,743.815 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 13, 2014 Filed Nov 14, 2014 17:34 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,186.998 | $35.80 | $42,499.99 |
DisclosureSEC source: 0001209191-14-068940 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,778.569 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 07, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 140,000 | $1.04 | $145,600.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 39,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F6 · balance_after: This number is negative. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| November 07, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 140,000 | $1.00 | $140,000.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 101,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| November 06, 2014 Filed Dec 1, 2014 22:40 UTC |
Porat RuthChief Financial Officer
|
GiftCommon Stock | 11,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-071998 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 849,403.256 Read SEC document |
| November 01, 2014 Filed Nov 4, 2014 17:17 UTC |
SEXTON O GRIFFITHDirector
|
Disposition to issuerCommon Stock | 4,122.128 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-066294 · doc4.xml · nonDerivative · entry 2 SEXTON O GRIFFITH · CIK 0001338580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 740,053.432 F2 · kind: Reflects the cancellation of unvested restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in connection with the reporting person's retirement from the Morgan Stanley Board of Directors. Read SEC document |
| November 01, 2014 Filed Nov 4, 2014 17:17 UTC |
SEXTON O GRIFFITHDirector
|
GrantCommon Stock | 1,214.039 | $35.01 | $42,499.98 |
DisclosureSEC source: 0001209191-14-066294 · doc4.xml · nonDerivative · entry 1 SEXTON O GRIFFITH · CIK 0001338580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 744,175.56 F1 · kind: Reflects stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of cash retainers paid for service from the 2014 annual meeting of shareholders through the reporting person's retirement from the Morgan Stanley Board of Directors, effective November 1, 2014. Stock units are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| October 28, 2014 Filed Dec 1, 2014 22:42 UTC |
GORMAN JAMES PDirector · Chairman and CEO
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GiftCommon Stock | 730 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-072001 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,042,455.284 Read SEC document |
| October 24, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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SaleNon-Cumulative Preferred Stock, Series H | 70,000 | $1.01 | $70,350.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 39,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F6 · balance_after: This number is negative. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 22, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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PurchaseNon-Cumulative Preferred Stock, Series H | 150,000 | $1.01 | $150,750.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 31,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 17, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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SaleNon-Cumulative Preferred Stock, Series H | 70,000 | $1.04 | $72,800.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 119,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F6 · balance_after: This number is negative. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 17, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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PurchaseNon-Cumulative Preferred Stock, Series H | 70,000 | $1.00 | $70,000.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 49,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F6 · balance_after: This number is negative. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 10, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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SaleNon-Cumulative Preferred Stock, Series H | 70,000 | $1.05 | $73,500.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 119,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F6 · balance_after: This number is negative. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 10, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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SaleNon-Cumulative Preferred Stock, Series H | 135,000 | $1.01 | $136,080.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 49,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F6 · balance_after: This number is negative. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 10, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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PurchaseNon-Cumulative Preferred Stock, Series H | 70,000 | $1.01 | $70,700.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 86,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 09, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 140,000 | $1.05 | $147,000.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 16,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 09, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 140,000 | $1.01 | $141,400.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 156,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| September 26, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
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SaleNon-Cumulative Preferred Stock, Series H | 280,000 | $1.04 | $291,200.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 16,000 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · security: Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. F3 · security: Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. F4 · 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. F5 · ownership.nature: The Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. 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.