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 18, 2011 Filed May 20, 2011 18:32 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030174 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,900.22 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 18:35 UTC |
OWENS JAMES WDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030178 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,048.021 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 18:39 UTC |
SEXTON O GRIFFITHDirector
|
GrantCommon Stock | 1,844.746 | $24.39 | $45,000.00 |
DisclosureSEC source: 0001209191-11-030181 · doc4.xml · nonDerivative · entry 2 SEXTON O GRIFFITH · CIK 0001338580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 690,611.8 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. F3 · balance_after: Includes shares previously held indirectly through the Issuer's 401(k) Plan which were transferred to the Reporting Person's IRA. Read SEC document |
| May 18, 2011 Filed May 20, 2011 18:39 UTC |
SEXTON O GRIFFITHDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030181 · doc4.xml · nonDerivative · entry 1 SEXTON O GRIFFITH · CIK 0001338580 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 688,767.054 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 22:42 UTC |
TYSON LAURA DDirector
|
GrantCommon Stock | 10,248.59 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030184 · doc4.xml · nonDerivative · entry 1 TYSON LAURA D · CIK 0001183429 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,461.944 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 |
| April 27, 2011 Filed May 23, 2011 20:48 UTC |
GORMAN JAMES PDirector · President and CEO
|
GiftCommon Stock | 13,662 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-030476 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 754,393 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 |
| February 15, 2011 Filed Feb 16, 2011 16:51 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
OtherCommon Stock | 1,311.1 | $30.32 | $39,752.55 |
DisclosureSEC source: 0001209191-11-010201 · doc4.xml · nonDerivative · entry 2 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 0 F1 · 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 14, 2011 Filed Feb 16, 2011 21:49 UTC |
Porat RuthChief Financial Officer
|
OtherCommon Stock | 550.877 | $29.98 | $16,515.29 |
DisclosureSEC source: 0001209191-11-010197 · doc4.xml · nonDerivative · entry 2 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 30,351.25 F1 · kind: The Reporting Person transferred balances from other funds held in the Morgan Stanley 401(k) Plan into the Morgan Stanley Stock Fund. Read SEC document |
| February 09, 2011 Filed Feb 11, 2011 17:08 UTC |
WIRTH PAUL CFinance Director/Controller
|
OtherCommon Stock | 997.34 | $30.08 | $29,999.99 |
DisclosureSEC source: 0001209191-11-008954 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Finance Director/Controller 10b5-1 filing: Not disclosed Ownership: Indirect · By 401(k) Plan Disclosed balance after: 125.098 F1 · kind: The Reporting Person transferred a portion of his balance held in the Morgan Stanley Stock Fund to other funds in the Morgan Stanley 401(k) Plan. Read SEC document |
| February 08, 2011 Filed Feb 10, 2011 17:37 UTC |
FLEMING GREGORY JPresident-Asset Mgt/GWM
|
Tax withholdingCommon Stock | 50,879 | $30.58 | $1,555,625.43 |
DisclosureSEC source: 0001209191-11-008542 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Asset Mgt/GWM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 399,790 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 2,223 | $30.14 | $67,001.22 |
DisclosureSEC source: 0001209191-11-008174 · doc4.xml · nonDerivative · entry 9 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 378,671 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 7,150 | $30.13 | $215,429.50 |
DisclosureSEC source: 0001209191-11-008174 · doc4.xml · nonDerivative · entry 8 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 380,894 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 100 | $30.12 | $3,012.00 |
DisclosureSEC source: 0001209191-11-008174 · doc4.xml · nonDerivative · entry 7 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,044 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 600 | $30.11 | $18,066.00 |
DisclosureSEC source: 0001209191-11-008174 · doc4.xml · nonDerivative · entry 6 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,144 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 3,100 | $30.10 | $93,310.00 |
DisclosureSEC source: 0001209191-11-008174 · doc4.xml · nonDerivative · entry 5 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 388,744 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 6,700 | $30.09 | $201,603.00 |
DisclosureSEC source: 0001209191-11-008174 · doc4.xml · nonDerivative · entry 4 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,844 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 500 | $30.08 | $15,040.00 |
DisclosureSEC source: 0001209191-11-008174 · doc4.xml · nonDerivative · entry 3 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 398,544 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 2,700 | $30.07 | $81,189.00 |
DisclosureSEC source: 0001209191-11-008174 · doc4.xml · nonDerivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 399,044 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 17:59 UTC |
KELLEHER THOMAS COLMCo-President Inst'l Securities
|
SaleCommon Stock | 26,927 | $30.06 | $809,425.62 |
DisclosureSEC source: 0001209191-11-008174 · 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: 401,744 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 18:02 UTC |
WIRTH PAUL CFinance Director/Controller
|
SaleCommon Stock | 6,917 | $30.41 | $210,345.97 |
DisclosureSEC source: 0001209191-11-008180 · doc4.xml · nonDerivative · entry 3 WIRTH PAUL C · CIK 0001319921 · Finance Director/Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,156 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 18:02 UTC |
WIRTH PAUL CFinance Director/Controller
|
SaleCommon Stock | 5,600 | $30.42 | $170,352.00 |
DisclosureSEC source: 0001209191-11-008180 · doc4.xml · nonDerivative · entry 2 WIRTH PAUL C · CIK 0001319921 · Finance Director/Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,073 Read SEC document |
| February 07, 2011 Filed Feb 9, 2011 18:02 UTC |
WIRTH PAUL CFinance Director/Controller
|
SaleCommon Stock | 5,200 | $30.43 | $158,236.00 |
DisclosureSEC source: 0001209191-11-008180 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Finance Director/Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,673 Read SEC document |
| February 04, 2011 Filed Feb 17, 2011 22:10 UTC |
GORMAN JAMES PDirector · President and CEO
|
GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-010640 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 757,679 Read SEC document |
| February 01, 2011 Filed Feb 3, 2011 17:19 UTC |
OWENS JAMES WDirector
|
GrantCommon Stock | 2,793.664 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-006820 · doc4.xml · nonDerivative · entry 1 OWENS JAMES W · CIK 0001171767 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,793.664 F1 · kind: Deferred stock units acquired 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 |
| January 21, 2011 Filed Jan 21, 2011 22:11 UTC |
GORMAN JAMES PDirector · President and CEO
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 424,731 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004449 · doc4.xml · derivative · entry 4 GORMAN JAMES P · CIK 0001182328 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,731 Underlying: Common Stock · 424,731 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $3.5 million. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 22:11 UTC |
GORMAN JAMES PDirector · President and CEO
|
GrantCommon Stock | 129,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004449 · doc4.xml · nonDerivative · entry 1 GORMAN JAMES P · CIK 0001182328 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 758,679 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:12 UTC |
MACK JOHN JDirector · Chairman of the Board
|
GrantCommon Stock | 66,912 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004450 · doc4.xml · nonDerivative · entry 1 MACK JOHN J · CIK 0001272147 · Director · Chairman of the Board 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,816,301.552 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. F2 · balance_after: Since the Reporting Person's last report, 500,000 shares of Common Stock previously reported as directly beneficially owned were contributed to a grantor retained annuity trust. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:13 UTC |
KELLEHER THOMAS COLMCo-President-Inst'l Securities
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 182,027 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004451 · doc4.xml · derivative · entry 2 KELLEHER THOMAS COLM · CIK 0001413097 · Co-President-Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,027 Underlying: Common Stock · 182,027 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $1.5 million. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:13 UTC |
KELLEHER THOMAS COLMCo-President-Inst'l Securities
|
GrantCommon Stock | 137,072 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004451 · 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: 450,881 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 22:14 UTC |
Taubman Paul JCo-President-Inst'l Securities
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 182,027 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004452 · doc4.xml · derivative · entry 3 Taubman Paul J · CIK 0001479665 · Co-President-Inst'l Securities 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,027 Underlying: Common Stock · 182,027 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $1.5 million. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 22:14 UTC |
Taubman Paul JCo-President-Inst'l Securities
|
GrantCommon Stock | 137,170 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004452 · 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: 1,088,562 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 22:15 UTC |
Porat RuthChief Financial Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 182,027 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004453 · doc4.xml · derivative · entry 3 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,027 Underlying: Common Stock · 182,027 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $1.5 million. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 22:15 UTC |
Porat RuthChief Financial Officer
|
GrantCommon Stock | 123,787 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004453 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 680,531.162 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:15 UTC |
FLEMING GREGORY JPresident-Asset Mgt/GWM
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 60,675 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004454 · doc4.xml · derivative · entry 2 FLEMING GREGORY J · CIK 0001258750 · President-Asset Mgt/GWM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,675 Underlying: Common Stock · 60,675 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $500,000. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:15 UTC |
FLEMING GREGORY JPresident-Asset Mgt/GWM
|
GrantCommon Stock | 117,096 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004454 · doc4.xml · nonDerivative · entry 1 FLEMING GREGORY J · CIK 0001258750 · President-Asset Mgt/GWM 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 450,669 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:16 UTC |
deRegt Kenneth MichaelGlobal Head-FI Sales/Trading
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 60,675 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004455 · doc4.xml · derivative · entry 3 deRegt Kenneth Michael · CIK 0001330293 · Global Head-FI Sales/Trading 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,675 Underlying: Common Stock · 60,675 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $500,000. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:16 UTC |
deRegt Kenneth MichaelGlobal Head-FI Sales/Trading
|
GrantCommon Stock | 97,022 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004455 · doc4.xml · nonDerivative · entry 1 deRegt Kenneth Michael · CIK 0001330293 · Global Head-FI Sales/Trading 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 229,865 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:17 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 121,351 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004456 · doc4.xml · derivative · entry 3 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,351 Underlying: Common Stock · 121,351 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $1 million. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:17 UTC |
ROSENTHAL JAMES AChief Operating Officer
|
GrantCommon Stock | 76,949 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004456 · doc4.xml · nonDerivative · entry 1 ROSENTHAL JAMES A · CIK 0001509446 · Chief Operating Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 264,479 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:17 UTC |
BARRON FRANCIS PChief Legal Officer
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 60,675 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004457 · doc4.xml · derivative · entry 2 BARRON FRANCIS P · CIK 0001497942 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,675 Underlying: Common Stock · 60,675 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $500,000. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:17 UTC |
BARRON FRANCIS PChief Legal Officer
|
GrantCommon Stock | 29,102 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004457 · doc4.xml · nonDerivative · entry 1 BARRON FRANCIS P · CIK 0001497942 · Chief Legal Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,441 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:18 UTC |
Hotsuki KeishiInterim Chief Risk Officer
|
GrantCommon Stock | 37,303 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004458 · doc4.xml · nonDerivative · entry 1 Hotsuki Keishi · CIK 0001510396 · Interim Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,668 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:19 UTC |
WIRTH PAUL CFinance Director/Controller
|
GrantEmployee Stock Option (Right to Buy) · Derivative | 60,675 | $0.00 Strike: $30.01 | $0.00 |
DisclosureSEC source: 0001209191-11-004459 · doc4.xml · derivative · entry 3 WIRTH PAUL C · CIK 0001319921 · Finance Director/Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,675 Underlying: Common Stock · 60,675 shares Expires 2018-01-21 F2 · derivative.exercise_date: The Black-Scholes value of the Stock Option award is $500,000. Options will vest and become exercisable in three equal annual installments beginning on February 2, 2012. Read SEC document |
| January 21, 2011 Filed Jan 21, 2011 17:19 UTC |
WIRTH PAUL CFinance Director/Controller
|
GrantCommon Stock | 26,095 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-11-004459 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Finance Director/Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,204 F1 · kind: Restricted Stock Units granted as part of 2010 year-end compensation, which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document |
| January 21, 2011 Filed Jan 25, 2011 17:01 UTC |
KELLEHER THOMAS COLMCo-President-Inst'l Securities
|
Tax withholdingCommon Stock | 22,210 | $29.78 | $661,413.80 |
DisclosureSEC source: 0001209191-11-004909 · 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: 428,671 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 20, 2007 to the Reporting Person. Read SEC document |
| January 21, 2011 Filed Jan 25, 2011 22:04 UTC |
Porat RuthChief Financial Officer
|
Tax withholdingCommon Stock | 40,371 | $29.78 | $1,202,248.38 |
DisclosureSEC source: 0001209191-11-004913 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 640,160.162 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 20, 2007 and December 18, 2008 to the Reporting Person. Read SEC document |
| January 21, 2011 Filed Jan 25, 2011 17:05 UTC |
WIRTH PAUL CFinance Director/Controller
|
Tax withholdingCommon Stock | 11,331 | $29.78 | $337,437.18 |
DisclosureSEC source: 0001209191-11-004916 · doc4.xml · nonDerivative · entry 1 WIRTH PAUL C · CIK 0001319921 · Finance Director/Controller 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,873 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 20, 2007 and December 18, 2008 to the Reporting Person. Read SEC document |
| January 03, 2011 Filed Jan 4, 2011 23:15 UTC |
Porat RuthChief Financial Officer
|
Tax withholdingCommon Stock | 12,100 | $28.03 | $339,102.50 |
DisclosureSEC source: 0001209191-11-001240 · doc4.xml · nonDerivative · entry 1 Porat Ruth · CIK 0001479258 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 556,744.162 Read SEC document |
| November 18, 2010 Filed Nov 19, 2010 17:14 UTC |
BOWLES ERSKINE BDirector
|
GrantCommon Stock | 1,840.736 | $25.80 | $47,500.01 |
DisclosureSEC source: 0001209191-10-056180 · doc4.xml · nonDerivative · entry 1 BOWLES ERSKINE B · CIK 0001257081 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,542.943 F1 · kind: Deferred stock units acquired 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 |
| November 18, 2010 Filed Nov 19, 2010 17:15 UTC |
OLAYAN HUTHAM SDirector
|
GrantCommon Stock | 1,646.974 | $25.80 | $42,500.00 |
DisclosureSEC source: 0001209191-10-056181 · doc4.xml · nonDerivative · entry 1 OLAYAN HUTHAM S · CIK 0001357222 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,482.472 F1 · kind: Deferred stock units acquired 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.