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 |
|---|---|---|---|---|---|---|
| September 26, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 280,000 | $1.00 | $280,000.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 296,000 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 25, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 65,000 | $1.00 | $65,065.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 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 |
| September 25, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 250,000 | $1.00 | $249,750.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 81,000 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 24, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 20,000 | $1.00 | $20,060.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 169,000 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 |
| September 18, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 70,000 | $1.05 | $73,500.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 149,000 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 |
| September 18, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 70,000 | $1.01 | $70,700.00 |
DisclosureSEC source: 0001209191-19-050312 · 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: 79,000 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 |
| September 16, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 100,000 | $1.00 | $100,400.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · nonDerivative · entry 10 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 149,000 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 |
| September 15, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 49,000 | $1.01 | $49,245.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · nonDerivative · entry 9 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 |
| September 05, 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 8 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 |
| September 05, 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 7 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 140,000 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 04, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 210,000 | $1.06 | $222,600.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · nonDerivative · entry 6 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 |
| September 04, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 210,000 | $1.02 | $214,200.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · nonDerivative · entry 5 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 210,000 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 |
| August 25, 2014 Filed Aug 26, 2014 21:09 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 100 | $34.45 | $3,444.50 |
DisclosureSEC source: 0001209191-14-054473 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,402.198 Read SEC document |
| August 25, 2014 Filed Aug 26, 2014 21:09 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 9,900 | $34.44 | $340,956.00 |
DisclosureSEC source: 0001209191-14-054473 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,502.198 Read SEC document |
| August 25, 2014 Filed Aug 26, 2014 21:15 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 54,500 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-14-054479 · doc4.xml · derivative · entry 3 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 247,570 Underlying: Common Stock · 54,500 shares Expires 2018-01-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Options vest and become exercisable in three equal annual installments beginning on January 27, 2014. Read SEC document |
| August 25, 2014 Filed Aug 26, 2014 21:15 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 54,500 | $34.29 | $1,868,723.25 |
DisclosureSEC source: 0001209191-14-054479 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,120.96 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $34.20 to $34.41, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| August 25, 2014 Filed Aug 26, 2014 21:15 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Exercise / conversionCommon Stock | 54,500 | $22.98 | $1,252,410.00 |
DisclosureSEC source: 0001209191-14-054479 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,620.96 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| August 21, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 210,000 | $1.06 | $222,600.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · nonDerivative · entry 4 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 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 |
| August 21, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 210,000 | $1.02 | $214,200.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · nonDerivative · entry 3 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 210,000 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 |
| August 07, 2014 Filed Aug 28, 2014 21:28 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 13,193 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-054852 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,042,348.475 Read SEC document |
| July 23, 2014 Filed Jul 25, 2014 21:14 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 35,000 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-14-049073 · doc4.xml · derivative · entry 3 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 302,070 Underlying: Common Stock · 35,000 shares Expires 2018-01-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Options vest and become exercisable in three equal annual installments beginning on January 27, 2014. Read SEC document |
| July 23, 2014 Filed Jul 25, 2014 21:14 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 35,000 | $32.90 | $1,151,395.00 |
DisclosureSEC source: 0001209191-14-049073 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,790.429 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $32.81 to $33.05, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| July 23, 2014 Filed Jul 25, 2014 21:14 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Exercise / conversionCommon Stock | 35,000 | $22.98 | $804,300.00 |
DisclosureSEC source: 0001209191-14-049073 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,790.429 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 22, 2014 Filed Jul 24, 2014 21:04 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 100,000 | $0.00 Strike: $22.98 | $0.00 |
DisclosureSEC source: 0001209191-14-048856 · doc4.xml · derivative · entry 4 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,888 Underlying: Common Stock · 100,000 shares Expires 2018-01-22 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: Options vest and become exercisable in three equal annual installments beginning on January 27, 2014. Read SEC document |
| July 22, 2014 Filed Jul 24, 2014 21:04 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
SaleCommon Stock | 100,000 | $33.02 | $3,301,730.00 |
DisclosureSEC source: 0001209191-14-048856 · doc4.xml · nonDerivative · entry 2 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,430.366 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $33 to $33.11, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| July 22, 2014 Filed Jul 24, 2014 21:04 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
Exercise / conversionCommon Stock | 100,000 | $22.98 | $2,298,000.00 |
DisclosureSEC source: 0001209191-14-048856 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 538,430.366 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| July 21, 2014 Filed Jul 23, 2014 21:10 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
Tax withholdingCommon Stock | 2,750 | $32.54 | $89,471.25 |
DisclosureSEC source: 0001209191-14-048637 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,419.873 F1 · kind: Shares withheld to satisfy taxes upon conversion of previously granted restricted stock units to shares of Common Stock. Read SEC document |
| July 18, 2014 Filed Jul 18, 2014 20:38 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 30,800 | $32.50 | $1,001,000.00 |
DisclosureSEC source: 0001209191-14-048110 · 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: 107,843 Read SEC document |
| June 24, 2014 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.017 | $32.18 | $0.55 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 10 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.182 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| May 15, 2014 Filed May 16, 2014 21:34 UTC |
DAVIES HOWARD JDirector
|
Tax withholdingCommon Stock | 262 | $29.57 | $7,747.84 |
DisclosureSEC source: 0001209191-14-034724 · doc4.xml · nonDerivative · entry 2 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,827.841 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 14, 2014 Filed May 16, 2014 21:34 UTC |
DAVIES HOWARD JDirector
|
Tax withholdingCommon Stock | 1,076 | $30.19 | $32,485.09 |
DisclosureSEC source: 0001209191-14-034724 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,913.346 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, 2014 Filed May 15, 2014 21:47 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,725.952 | $30.42 | $52,500.01 |
DisclosureSEC source: 0001209191-14-034323 · doc4.xml · nonDerivative · entry 2 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,111.531 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 13, 2014 Filed May 15, 2014 21:47 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034323 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,385.579 F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 13, 2014 Filed May 15, 2014 21:48 UTC |
DAVIES HOWARD JDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034324 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,989.848 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 13, 2014 Filed May 15, 2014 21:49 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 1,397.199 | $30.42 | $42,500.00 |
DisclosureSEC source: 0001209191-14-034326 · doc4.xml · nonDerivative · entry 2 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,380.912 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 13, 2014 Filed May 15, 2014 21:49 UTC |
GLOCER THOMAS HDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034326 · doc4.xml · nonDerivative · entry 1 GLOCER THOMAS H · CIK 0001140799 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,983.713 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 13, 2014 Filed May 15, 2014 21:49 UTC |
Herz Robert HDirector
|
GiftCommon Stock | 47 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034328 · doc4.xml · nonDerivative · entry 5 Herz Robert H · CIK 0001523753 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust Disclosed balance after: 0 Read SEC document |
| May 13, 2014 Filed May 15, 2014 21:49 UTC |
Herz Robert HDirector
|
GiftCommon Stock | 47 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034328 · doc4.xml · nonDerivative · entry 2 Herz Robert H · CIK 0001523753 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,132.577 Read SEC document |
| May 13, 2014 Filed May 15, 2014 21:49 UTC |
Herz Robert HDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034328 · doc4.xml · nonDerivative · entry 1 Herz Robert H · CIK 0001523753 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,085.577 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 13, 2014 Filed May 15, 2014 17:50 UTC |
KIDDER C ROBERTDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034331 · doc4.xml · nonDerivative · entry 1 KIDDER C ROBERT · CIK 0001179703 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,731.441 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 13, 2014 Filed May 15, 2014 21:52 UTC |
Nicolaisen Donald TDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034337 · doc4.xml · nonDerivative · entry 1 Nicolaisen Donald T · CIK 0001345885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,334.45 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 13, 2014 Filed May 15, 2014 21:51 UTC |
KLEINFELD KLAUSDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034333 · doc4.xml · nonDerivative · entry 1 KLEINFELD KLAUS · CIK 0001268014 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,306.557 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 13, 2014 Filed May 15, 2014 17:53 UTC |
OWENS JAMES WDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034339 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,770.766 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 13, 2014 Filed May 15, 2014 21:53 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,397.199 | $30.42 | $42,500.00 |
DisclosureSEC source: 0001209191-14-034338 · doc4.xml · nonDerivative · entry 2 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,917.648 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 13, 2014 Filed May 15, 2014 21:53 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034338 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,520.449 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 13, 2014 Filed May 15, 2014 21:54 UTC |
SEXTON O GRIFFITHDirector
|
GrantCommon Stock | 1,397.199 | $30.42 | $42,500.00 |
DisclosureSEC source: 0001209191-14-034340 · doc4.xml · nonDerivative · entry 2 SEXTON O GRIFFITH · CIK 0001338580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 742,291.226 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 13, 2014 Filed May 15, 2014 21:54 UTC |
SEXTON O GRIFFITHDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034340 · doc4.xml · nonDerivative · entry 1 SEXTON O GRIFFITH · CIK 0001338580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 740,894.027 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 13, 2014 Filed May 15, 2014 21:54 UTC |
TYSON LAURA DDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034341 · doc4.xml · nonDerivative · entry 1 TYSON LAURA D · CIK 0001183429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,401.703 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 13, 2014 Filed May 15, 2014 21:55 UTC |
WILKINS RAYFORD JRDirector
|
GrantCommon Stock | 8,218.818 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034342 · doc4.xml · nonDerivative · entry 1 WILKINS RAYFORD JR · CIK 0001184395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,389.018 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 13, 2014 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.048 | $30.42 | $1.46 |
DisclosureSEC source: 0000899243-20-028926 · doc4.xml · nonDerivative · entry 9 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,017,152.199 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.