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 05, 2012 Filed Mar 6, 2012 23:44 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 18,156 | $18.48 | $335,432.10 |
DisclosureSEC source: 0001209191-12-016263 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 343,070.552 F1 · kind: Shares withheld to satisfy taxes upon conversion of previously granted restricted stock units to shares of Common Stock. Read SEC document |
| February 09, 2012 Filed Feb 17, 2012 22:32 UTC |
GORMAN JAMES PDirector · Chairman of the Board and CEO
|
GiftCommon Stock | 1,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-011343 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 976,009.269 Read SEC document |
| February 08, 2012 Filed Feb 9, 2012 22:35 UTC |
FLEMING GREGORY JPresident-Asset Mgt/GWM
|
Tax withholdingCommon Stock | 46,181 | $20.27 | $936,088.87 |
DisclosureSEC source: 0001209191-12-008774 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Asset Mgt/GWM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 541,980.87 F1 · kind: Shares withheld to satisfy taxes upon conversion of previously granted restricted stock units to shares of Common Stock. Read SEC document |
| February 03, 2012 Filed Feb 17, 2012 22:32 UTC |
GORMAN JAMES PDirector · Chairman of the Board and CEO
|
GiftCommon Stock | 2,480 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-011343 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 977,231.269 F1 · balance_after: On February 14, 2012, the Reporting Person contributed 100,000 shares previously reported as directly beneficially owned to a grantor retained annuity trust. Read SEC document |
| January 23, 2012 Filed Jan 24, 2012 23:34 UTC |
GROSSMAN ERIC FChief Legal Officer
|
SaleCommon Stock | 12,482 | $18.22 | $227,365.87 |
DisclosureSEC source: 0001209191-12-005210 · doc4.xml · nonDerivative · entry 2 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,447.008 F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $18.00 to $18.50, 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 |
| January 20, 2012 Filed Jan 20, 2012 21:38 UTC |
GORMAN JAMES PDirector · Chairman of the Board and CEO
|
GrantCommon Stock | 277,768 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004668 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,120,834.407 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:39 UTC |
Porat RuthChief Financial Officer
|
GrantCommon Stock | 176,221 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004670 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 830,538.89 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:40 UTC |
FLEMING GREGORY JPresident-Asset Mgt/GWM
|
GrantCommon Stock | 187,234 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004672 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Asset Mgt/GWM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 588,161.87 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:40 UTC |
KELLEHER THOMAS COLMCo-President-Inst'l Securities
|
GrantCommon Stock | 139,832 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004675 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President-Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 519,834.985 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:41 UTC |
Taubman Paul JCo-President-Inst'l Securities
|
GrantCommon Stock | 187,234 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004679 · doc4.xml · nonDerivative · entry 1 Taubman Paul J · CIK 0001479665 · Co-President-Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,307,039.938 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:41 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantCommon Stock | 159,700 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004682 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 381,622.744 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:42 UTC |
Hotsuki KeishiChief Risk Officer
|
GrantCommon Stock | 96,469 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004685 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,197.486 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:43 UTC |
GROSSMAN ERIC FChief Legal Officer
|
GrantCommon Stock | 53,337 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004688 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,284.008 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 20, 2012 21:43 UTC |
WIRTH PAUL CDeputy CFO/Controller
|
GrantCommon Stock | 61,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-12-004689 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy CFO/Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,923.573 F1 · kind: Restricted Stock Units granted in 2012 as part of 2011 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:28 UTC |
GORMAN JAMES PDirector · Chairman of the Board and CEO
|
Tax withholdingCommon Stock | 42,194 | $18.12 | $764,555.28 |
DisclosureSEC source: 0001209191-12-005198 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,078,640.407 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on January 21, 2010 to the Reporting Person. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:30 UTC |
KELLEHER THOMAS COLMCo-President-Inst'l Securities
|
Tax withholdingCommon Stock | 27,015 | $18.12 | $489,511.80 |
DisclosureSEC source: 0001209191-12-005200 · doc4.xml · nonDerivative · entry 1 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President-Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 492,819.985 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on December 18, 2008 and January 21, 2010 to the Reporting Person. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:31 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 11,259 | $18.12 | $204,013.08 |
DisclosureSEC source: 0001209191-12-005203 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,938.486 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on December 18, 2008 and January 21, 2010 to the Reporting Person. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:32 UTC |
Porat RuthChief Financial Officer
|
Tax withholdingCommon Stock | 33,987 | $18.12 | $615,844.44 |
DisclosureSEC source: 0001209191-12-005208 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 796,551.89 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on December 18, 2008 and January 21, 2010 to the Reporting Person. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:34 UTC |
GROSSMAN ERIC FChief Legal Officer
|
Tax withholdingCommon Stock | 7,355 | $18.12 | $133,272.60 |
DisclosureSEC source: 0001209191-12-005210 · doc4.xml · nonDerivative · entry 1 GROSSMAN ERIC F · CIK 0001539492 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,929.008 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on December 18, 2008 and January 21, 2010 to the Reporting Person. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:35 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 21,018 | $18.12 | $380,846.16 |
DisclosureSEC source: 0001209191-12-005212 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,604.744 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on December 18, 2008 and January 21, 2010 to the Reporting Person. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:37 UTC |
Taubman Paul JCo-President-Inst'l Securities
|
Tax withholdingCommon Stock | 37,816 | $18.12 | $685,225.92 |
DisclosureSEC source: 0001209191-12-005215 · doc4.xml · nonDerivative · entry 1 Taubman Paul J · CIK 0001479665 · Co-President-Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,269,223.938 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on December 18, 2008 and January 21, 2010 to the Reporting Person. Read SEC document |
| January 20, 2012 Filed Jan 24, 2012 23:39 UTC |
WIRTH PAUL CDeputy CFO/Controller
|
Tax withholdingCommon Stock | 23,502 | $18.12 | $425,856.24 |
DisclosureSEC source: 0001209191-12-005217 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Deputy CFO/Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,421.573 F1 · kind: The amount shown reflects shares withheld to satisfy taxes upon the conversion of Restricted Stock Units ("RSUs") to shares of Common Stock. This conversion relates to RSUs awarded on December 18, 2008 and January 21, 2010 to the Reporting Person. Read SEC document |
| January 03, 2012 Filed Jan 4, 2012 21:58 UTC |
Porat RuthChief Financial Officer
|
Tax withholdingCommon Stock | 12,054 | $16.00 | $192,864.00 |
DisclosureSEC source: 0001209191-12-001361 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 653,115 Read SEC document |
| January 03, 2012 Filed Jan 4, 2012 22:04 UTC |
Taubman Paul JCo-President-Inst'l Securities
|
Tax withholdingCommon Stock | 20,089 | $16.00 | $321,424.00 |
DisclosureSEC source: 0001209191-12-001389 · doc4.xml · nonDerivative · entry 1 Taubman Paul J · CIK 0001479665 · Co-President-Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,118,473 Read SEC document |
| November 18, 2011 Filed Nov 21, 2011 22:16 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 3,344.27 | $14.20 | $47,500.00 |
DisclosureSEC source: 0001209191-11-057399 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,656.704 F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of payment of cash retainers 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 18, 2011 Filed Nov 21, 2011 22:18 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 2,992.241 | $14.20 | $42,500.00 |
DisclosureSEC source: 0001209191-11-057403 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,979.128 F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of payment of cash retainers 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 18, 2011 Filed Nov 21, 2011 22:21 UTC |
SEXTON O GRIFFITHDirector
|
GrantCommon Stock | 2,992.241 | $14.20 | $42,500.00 |
DisclosureSEC source: 0001209191-11-057406 · doc4.xml · nonDerivative · entry 1 SEXTON O GRIFFITH · CIK 0001338580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 693,942.697 F1 · kind: Deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan in lieu of payment of cash retainers 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 15, 2011 Filed Nov 16, 2011 22:40 UTC |
GORMAN JAMES PDirector · President and CEO
|
GiftCommon Stock | 12,588 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-056523 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 841,805 Read SEC document |
| November 01, 2011 Filed Nov 3, 2011 21:07 UTC |
DAVIES HOWARD JDirector
|
Tax withholdingCommon Stock | 406 | $16.24 | $6,592.10 |
DisclosureSEC source: 0001209191-11-054226 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,294.149 F1 · kind: Shares withheld to satisfy taxes upon the conversion of stock units granted to the Reporting Person under the Directors' Equity Capital Accumulation Plan as part of his 2005 and 2006 director compensation. Read SEC document |
| August 05, 2011 Filed Aug 5, 2011 15:30 UTC |
OLAYAN HUTHAM SDirector
|
PurchaseCommon Stock | 5,000 | $20.00 | $100,000.00 |
DisclosureSEC source: 0001209191-11-042600 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,642.48 Read SEC document |
| August 04, 2011 Filed Aug 4, 2011 14:30 UTC |
GORMAN JAMES PDirector · President and CEO
|
PurchaseCommon Stock | 100,000 | $20.62 | $2,062,070.00 |
DisclosureSEC source: 0001209191-11-042424 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 854,393 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $20.555 to $20.73, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| August 04, 2011 Filed Aug 5, 2011 12:39 UTC |
Porat RuthChief Financial Officer
|
PurchaseCommon Stock | 25,000 | $20.50 | $512,500.00 |
DisclosureSEC source: 0001209191-11-042556 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 665,169 Read SEC document |
| August 04, 2011 Filed Aug 5, 2011 12:41 UTC |
Taubman Paul JCo-President-Inst'l Securities
|
PurchaseCommon Stock | 50,000 | $20.38 | $1,019,235.00 |
DisclosureSEC source: 0001209191-11-042558 · doc4.xml · nonDerivative · entry 1 Taubman Paul J · CIK 0001479665 · Co-President-Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,138,562 F1 · price: The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $20.30 to $20.44, 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 purchased at each separate price within the range set forth in this footnote. Read SEC document |
| August 02, 2011 Filed Aug 2, 2011 14:27 UTC |
OWENS JAMES WDirector
|
PurchaseCommon Stock | 5,000 | $22.04 | $110,200.00 |
DisclosureSEC source: 0001209191-11-041941 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,048.021 Read SEC document |
| July 22, 2011 Filed Jul 22, 2011 20:41 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 5,548 | $23.72 | $131,598.56 |
DisclosureSEC source: 0001209191-11-040627 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,175 Read SEC document |
| July 22, 2011 Filed Jul 22, 2011 20:41 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
SaleCommon Stock | 2,452 | $23.73 | $58,185.96 |
DisclosureSEC source: 0001209191-11-040627 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,723 Read SEC document |
| June 30, 2011 Filed Aug 23, 2011 16:09 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
ConversionSeries B Non-Cumulative Non-Voting Perpetual Conv Pfd Stk · Derivative | 7,839,209 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-11-045304 · c21198_4x0.xml · derivative · entry 3 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 385,464,097 shares Expires not disclosed 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 · security: Pursuant to an agreement between Morgan Stanley and the reporting person, Morgan Stanley agreed to adjust the conversion rate with respect to the Series B Preferred Stock such that each share of Series B Preferred Stock would be convertible into 49.1713 shares of Common Stock (rather than the previous 39.604 shares), subject to customary anti-dilution provisions. There was no expiration date for the conversion. F2 · derivative.exercise_price: Pursuant to an agreement between Morgan Stanley and the reporting person, Morgan Stanley agreed to adjust the conversion rate with respect to the Series B Preferred Stock such that each share of Series B Preferred Stock would be convertible into 49.1713 shares of Common Stock (rather than the previous 39.604 shares), subject to customary anti-dilution provisions. There was no expiration date for the conversion. F2 · price: Pursuant to an agreement between Morgan Stanley and the reporting person, Morgan Stanley agreed to adjust the conversion rate with respect to the Series B Preferred Stock such that each share of Series B Preferred Stock would be convertible into 49.1713 shares of Common Stock (rather than the previous 39.604 shares), subject to customary anti-dilution provisions. There was no expiration date for the conversion. F2 · derivative.exercise_date: Pursuant to an agreement between Morgan Stanley and the reporting person, Morgan Stanley agreed to adjust the conversion rate with respect to the Series B Preferred Stock such that each share of Series B Preferred Stock would be convertible into 49.1713 shares of Common Stock (rather than the previous 39.604 shares), subject to customary anti-dilution provisions. There was no expiration date for the conversion. F2 · derivative.expiration_date: Pursuant to an agreement between Morgan Stanley and the reporting person, Morgan Stanley agreed to adjust the conversion rate with respect to the Series B Preferred Stock such that each share of Series B Preferred Stock would be convertible into 49.1713 shares of Common Stock (rather than the previous 39.604 shares), subject to customary anti-dilution provisions. There was no expiration date for the conversion. Read SEC document |
| June 30, 2011 Filed Aug 23, 2011 16:09 UTC |
MITSUBISHI UFJ FINANCIAL GROUP INC10% owner
|
ConversionCommon Stock | 385,464,097 | $20.34 | $7,840,339,732.98 |
DisclosureSEC source: 0001209191-11-045304 · c21198_4x0.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 432,017,152 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 |
| May 20, 2011 Filed May 20, 2011 18:46 UTC |
Hotsuki KeishiChief Risk Officer
|
Tax withholdingCommon Stock | 12,302 | $24.13 | $296,785.75 |
DisclosureSEC source: 0001209191-11-030188 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,366 Read SEC document |
| May 20, 2011 Filed May 20, 2011 18:48 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
Tax withholdingCommon Stock | 35,304 | $24.13 | $851,709.00 |
DisclosureSEC source: 0001209191-11-030191 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,175 Read SEC document |
| May 20, 2011 Filed May 23, 2011 20:48 UTC |
GORMAN JAMES PDirector · President and CEO
|
GiftCommon Stock | 2,972 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030476 · doc4.xml · nonDerivative · entry 2 GORMAN JAMES P · CIK 0001182328 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Grantor Retained Annuity Trust Disclosed balance after: 100,000 F1 · balance_after: Since the Reporting Person's last report, 10,376 shares of Common Stock previously reported as indirectly beneficially owned by grantor retained annuity trust were transferred back to the Reporting Person in satisfaction of an annuity payment. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:13 UTC |
BOSTOCK ROY JDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030158 · doc4.xml · nonDerivative · entry 1 BOSTOCK ROY J · CIK 0001238512 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,487.844 F1 · kind: Restricted stock units granted under the Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:15 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,947.232 | $24.39 | $47,500.00 |
DisclosureSEC source: 0001209191-11-030160 · doc4.xml · nonDerivative · entry 2 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,930.462 F2 · kind: Deferred stock units acquired under the Directors' Equity Capital Accumulation Plan, which are convertible to shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:15 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030160 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,983.23 F1 · kind: Restricted stock units granted under the Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:22 UTC |
DAVIES HOWARD JDirector
|
Tax withholdingCommon Stock | 749 | $24.39 | $18,270.81 |
DisclosureSEC source: 0001209191-11-030164 · doc4.xml · nonDerivative · entry 2 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,576.722 F2 · kind: Shares withheld to satisfy taxes upon the conversion of stock units granted under the Directors' Equity Capital Accumulation Plan to the Reporting Person as part of his 2010 director compensation. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:22 UTC |
DAVIES HOWARD JDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030164 · doc4.xml · nonDerivative · entry 1 DAVIES HOWARD J · CIK 0001283017 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,325.722 F1 · kind: Restricted stock units granted under the Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 18, 2011 Filed May 20, 2011 22:24 UTC |
HANCE JAMES H JRDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030166 · doc4.xml · nonDerivative · entry 1 HANCE JAMES H JR · CIK 0001176400 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,946.143 F1 · kind: Restricted stock units granted under the Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:27 UTC |
KIDDER C ROBERTDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030168 · doc4.xml · nonDerivative · entry 1 KIDDER C ROBERT · CIK 0001179703 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,075.56 F1 · kind: Restricted stock units granted under the Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:30 UTC |
Nicolaisen Donald TDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030171 · doc4.xml · nonDerivative · entry 1 Nicolaisen Donald T · CIK 0001345885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,501.652 F1 · kind: Restricted stock units granted under the Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:32 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,742.26 | $24.39 | $42,499.99 |
DisclosureSEC source: 0001209191-11-030174 · doc4.xml · nonDerivative · entry 2 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,642.48 F2 · kind: Deferred stock units acquired under the Directors' Equity Capital Accumulation Plan, 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.