Last 12 months
Inside the activity.
0 purchase rows · 33 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 16 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 12 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 5 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| May 09, 2014 Filed May 9, 2014 21:35 UTC |
Hotsuki KeishiChief Risk Officer
|
SaleCommon Stock | 3,528 | $29.50 | $104,080.59 |
DisclosureSEC source: 0001209191-14-032680 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,355.721 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.50 to $29.51, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 09, 2014 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.04 | $29.50 | $1.18 |
DisclosureSEC source: 0000899243-20-028926 · 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: 432,017,152.15 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 08, 2014 Filed May 9, 2014 21:35 UTC |
Hotsuki KeishiChief Risk Officer
|
SaleCommon Stock | 30,336 | $30.09 | $912,661.59 |
DisclosureSEC source: 0001209191-14-032680 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,883.721 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $30 to $30.17, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| May 07, 2014 Filed May 16, 2014 21:36 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 852 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-034725 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,054,617.751 Read SEC document |
| May 06, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleNon-Cumulative Preferred Stock, Series H | 125,000 | $1.02 | $127,000.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · nonDerivative · entry 2 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 |
| May 01, 2014 Filed May 2, 2014 20:42 UTC |
DAVIES HOWARD JDirector
|
SaleCommon Stock | 12,000 | $31.17 | $374,040.00 |
DisclosureSEC source: 0001209191-14-030741 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,771.03 Read SEC document |
| April 23, 2014 Filed Sep 20, 2019 20:06 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseNon-Cumulative Preferred Stock, Series H | 125,000 | $1.01 | $126,625.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 125,000 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 |
| April 08, 2014 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
SaleCommon Stock | 0.058 | $29.35 | $1.70 |
DisclosureSEC source: 0000899243-20-028926 · 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: 432,017,152.11 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| February 14, 2014 Filed Feb 18, 2014 23:39 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 27,161 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-011487 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Grantor Retained Annuity Trust Disclosed balance after: 35,558 Read SEC document |
| February 13, 2014 Filed Feb 18, 2014 23:39 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GiftCommon Stock | 3,360 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-011487 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,054,463.943 Read SEC document |
| February 12, 2014 Filed Feb 13, 2014 22:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 33,500 | $30.18 | $1,010,896.00 |
DisclosureSEC source: 0001209191-14-010466 · 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: 138,643 Read SEC document |
| February 11, 2014 Filed Feb 13, 2014 22:05 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
SaleCommon Stock | 25,000 | $30.20 | $755,000.00 |
DisclosureSEC source: 0001209191-14-010464 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,990.849 Read SEC document |
| February 05, 2014 Filed Feb 7, 2014 22:03 UTC |
GROSSMAN ERIC FChief Legal Officer
|
OtherCommon Stock | 1,571.781 | $29.18 | $45,864.57 |
DisclosureSEC source: 0001209191-14-008410 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 0 F2 · kind: The Reporting Person transferred his balance held in the Morgan Stanley Stock Fund to other funds in the Morgan Stanley 401(k) Plan. Read SEC document |
| February 05, 2014 Filed Feb 7, 2014 22:03 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 28,929 | $29.22 | $845,403.74 |
DisclosureSEC source: 0001209191-14-008410 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,251.842 F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $29.182 to $29.265, inclusive. The Reporting Person undertakes to provide to Morgan Stanley, any security holder of Morgan Stanley or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. Read SEC document |
| February 05, 2014 Filed May 15, 2014 21:49 UTC |
Herz Robert HDirector
|
OtherCommon Stock | 2 | $29.03 | $58.05 |
DisclosureSEC source: 0001209191-14-034328 · doc4.xml · nonDerivative · entry 4 Herz Robert H · CIK 0001523753 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust Disclosed balance after: 47 Read SEC document |
| January 31, 2014 Filed Oct 22, 2020 00:39 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
PurchaseCommon Stock | 0.019 | $29.55 | $0.56 |
DisclosureSEC source: 0000899243-20-028926 · 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: 432,017,152.168 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 29, 2014 Filed Jan 29, 2014 21:45 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
SaleCommon Stock | 8,500 | $30.16 | $256,360.85 |
DisclosureSEC source: 0001209191-14-005566 · doc4.xml · nonDerivative · entry 4 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 403,250.193 Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:41 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 22,644 | $29.99 | $678,980.34 |
DisclosureSEC source: 0001209191-14-005561 · doc4.xml · nonDerivative · entry 3 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,057,324.58 F3 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 21, 2011 and earned on January 28, 2014 as described in footnote (2). Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:41 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 40,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005561 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,079,968.58 F2 · kind: Shares earned based on the Company's achievement of certain pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 21, 2011 as part of 2010 year-end compensation. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:43 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
Tax withholdingCommon Stock | 18,871 | $29.99 | $565,846.94 |
DisclosureSEC source: 0001209191-14-005564 · doc4.xml · nonDerivative · entry 3 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 437,298.154 F3 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 21, 2011 and earned on January 28, 2014 as described in footnote (2). Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:43 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
GrantCommon Stock | 36,592 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005564 · doc4.xml · nonDerivative · entry 2 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 456,169.154 F2 · kind: Shares earned based on the Company's achievement of certain pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 21, 2011 as part of 2010 year-end compensation. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:45 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
Tax withholdingCommon Stock | 20,133 | $29.99 | $603,688.01 |
DisclosureSEC source: 0001209191-14-005566 · doc4.xml · nonDerivative · entry 3 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,750.193 F3 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 21, 2011 and earned on January 28, 2014 as described in footnote (2). Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:45 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
GrantCommon Stock | 42,835 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005566 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 431,883.193 F2 · kind: Shares earned based on the Company's achievement of certain pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 21, 2011 as part of 2010 year-end compensation. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:47 UTC |
Porat RuthChief Financial Officer
|
Tax withholdingCommon Stock | 21,593 | $29.99 | $647,466.11 |
DisclosureSEC source: 0001209191-14-005568 · doc4.xml · nonDerivative · entry 3 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 858,708.585 F3 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 21, 2011 and earned on January 28, 2014 as described in footnote (2). Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:47 UTC |
Porat RuthChief Financial Officer
|
GrantCommon Stock | 38,683 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005568 · doc4.xml · nonDerivative · entry 2 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 880,301.585 F2 · kind: Shares earned based on the Company's achievement of certain pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 21, 2011 as part of 2010 year-end compensation. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:48 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 29,069 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 5 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,483.975 F2 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:48 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 34,622 | $29.99 | $1,038,140.67 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 4 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,552.975 F4 · kind: Shares withheld to satisfy taxes upon the conversion of (a) PSUs awarded on January 21, 2011 and earned on January 28, 2014 as described in footnote (3) and (b) RSUs granted on January 21, 2011. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:48 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantCommon Stock | 24,046 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 233,174.975 F3 · kind: Shares earned based on the Company's achievement of certain pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 21, 2011 as part of 2010 year-end compensation. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:49 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 21,166 | $29.99 | $634,662.51 |
DisclosureSEC source: 0001209191-14-005574 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,180.842 F2 · kind: Shares withheld to satisfy taxes upon the conversion of (a) PSUs awarded on January 21, 2011 and earned on January 28, 2014 as described in footnote (1) and (b) Restricted Stock Units granted on January 21, 2011 and January 20, 2012. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:49 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 12,542 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005574 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,346.842 F1 · kind: Shares earned based on the Company's achievement of certain pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 21, 2011 as part of 2010 year-end compensation. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:50 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 9,912 | $29.99 | $297,211.32 |
DisclosureSEC source: 0001209191-14-005576 · doc4.xml · nonDerivative · entry 2 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,034.167 F2 · kind: Shares withheld to satisfy taxes upon the conversion of RSUs granted on January 21, 2011. Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:52 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 8,411 | $29.99 | $252,203.84 |
DisclosureSEC source: 0001209191-14-005580 · doc4.xml · nonDerivative · entry 3 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 217,990.849 F3 · kind: Shares withheld to satisfy taxes upon the conversion of PSUs awarded on January 21, 2011 and earned on January 28, 2014 as described in footnote (2). Read SEC document |
| January 28, 2014 Filed Jan 29, 2014 21:52 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 16,309 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005580 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,401.849 F2 · kind: Shares earned based on the Company's achievement of certain pre-established performance criteria in accordance with the terms of Performance Stock Units ("PSUs") awarded on January 21, 2011 as part of 2010 year-end compensation. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:41 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
Tax withholdingCommon Stock | 106,957 | $30.04 | $3,212,453.50 |
DisclosureSEC source: 0001209191-14-005561 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,039,403.58 F1 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2011 and January 20, 2012. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:43 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
Tax withholdingCommon Stock | 72,055 | $30.04 | $2,164,171.93 |
DisclosureSEC source: 0001209191-14-005564 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,577.154 F1 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2011 and January 20, 2012. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:45 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
Tax withholdingCommon Stock | 52,453 | $30.04 | $1,575,425.86 |
DisclosureSEC source: 0001209191-14-005566 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 389,048.193 F1 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2011 and January 20, 2012. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:47 UTC |
Porat RuthChief Financial Officer
|
Tax withholdingCommon Stock | 91,640 | $30.04 | $2,752,407.40 |
DisclosureSEC source: 0001209191-14-005568 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 841,618.585 F1 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2011, January 20, 2012, and January 22, 2013. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:48 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GiftCommon Stock | 42,603 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,129.725 F2 · kind: The Reporting Person contributed shares to his revocable trust. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:48 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 38,883 | $30.04 | $1,167,850.91 |
DisclosureSEC source: 0001209191-14-005570 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 251,732.725 F1 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") granted on January 20, 2012. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:50 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 20,832 | $30.04 | $625,689.12 |
DisclosureSEC source: 0001209191-14-005576 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,946.723 F1 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") granted on January 20, 2012. Read SEC document |
| January 27, 2014 Filed Jan 29, 2014 21:52 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
Tax withholdingCommon Stock | 30,474 | $30.04 | $915,286.59 |
DisclosureSEC source: 0001209191-14-005580 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,092.849 F1 · kind: Shares withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 21, 2011, January 20, 2012, and January 22, 2013. Read SEC document |
| January 22, 2014 Filed May 15, 2014 21:49 UTC |
Herz Robert HDirector
|
OtherCommon Stock | 45 | $32.80 | $1,475.96 |
DisclosureSEC source: 0001209191-14-034328 · doc4.xml · nonDerivative · entry 3 Herz Robert H · CIK 0001523753 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust Disclosed balance after: 45 Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:01 UTC |
GORMAN JAMES PDirector · Chairman and CEO
|
GrantCommon Stock | 155,207.47 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004589 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,146,361.672 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:02 UTC |
FLEMING GREGORY JPresident-Wealth & Invest Mgt
|
GrantCommon Stock | 127,825.69 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004592 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Wealth & Invest Mgt 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 491,633.014 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:04 UTC |
KELLEHER THOMAS COLMPresident, Inst'l Securities
|
GrantCommon Stock | 133,972.82 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004595 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · President, Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 441,501.398 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:05 UTC |
Porat RuthChief Financial Officer
|
GrantCommon Stock | 102,933.15 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004597 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 933,259.837 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:07 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantCommon Stock | 87,997.63 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004599 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,616.058 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:08 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 79,036.32 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004602 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 143,805.457 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:10 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 61,113.7 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004604 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,779.162 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2014 Filed Jan 23, 2014 22:11 UTC |
WIRTH PAUL CDeputy Chief Financial Officer
|
GrantCommon Stock | 71,568.56 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-14-004606 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,567.49 F1 · kind: Restricted Stock Units granted in 2014 as part of 2013 year-end compensation, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.