organization · Reporting owner

MORGAN STANLEY

Disclosed activity across 77 companies

Tapewire entity: 2815
SEC CIK: 0000895421

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Angel Oak Mortgage REIT, Inc.AOMR · Entity 6304	10% owner	June 21, 2021	October 11, 2022
BARRA INC /CABARZ · Entity 14071	Filer of Schedule 13D	April 05, 2004	April 14, 2004
BLACKROCK MUNICIPAL INCOME QUALITY TRUSTBSE · Entity 11063	10% owner	February 29, 2012	March 12, 2012
CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUNDCHI · Entity 4954	10% owner	December 31, 2008	January 12, 2009
CALAMOS STRATEGIC TOTAL RETURN FUNDCSQ · Entity 1296	10% owner	December 31, 2008	January 12, 2009
COHEN & STEERS ADVANTAGE INCOME REALTY FUND INCRLF · Entity 13281	10% owner	December 31, 2008	January 12, 2009
COHEN & STEERS PREMIUM INCOME REALTY FUND INCRPF · Entity 13346	10% owner	December 31, 2008	January 12, 2009
COHEN & STEERS QUALITY INCOME REALTY FUND INCRQI · Entity 4641	10% owner	December 31, 2008	January 12, 2009
COHEN & STEERS REIT & PREFERRED & INCOME FUND INCRNP · Entity 4979	10% owner	December 31, 2008	January 12, 2009
CRESCENT REAL ESTATE EQUITIES COCEI · Entity 13529	10% owner	May 22, 2007	July 03, 2007
CRESCENT REAL ESTATE EQUITIES LTD PARTNERSHIPNONE · Entity 13535	10% owner	May 22, 2007	June 01, 2007
China XD Plastics Co LtdCXDC · Entity 11946	10% owner · See Explanation of Responses	September 30, 2019	October 09, 2019
Community Bankers Trust CorpBTC · Entity 13406	10% owner	May 28, 2008	June 09, 2008
DISTRIBUTED ENERGY SYSTEMS CORPDESC · Entity 13411	10% owner	May 29, 2008	June 02, 2008
EATON VANCE NEW JERSEY MUNICIPAL INCOME TRUSTEVJ · Entity 12159	10% owner	February 24, 2016	March 04, 2016
Eaton Vance Senior Income TrustEVF · Entity 6825	See Remarks	September 15, 2026	September 17, 2026
FLAHERTY & CRUMRINE TOTAL RETURN FUND INCFLC · Entity 6421	10% owner	December 31, 2008	January 12, 2009
Feihe International IncADY · Entity 12696	See Remarks Below	June 27, 2013	June 28, 2013
Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCFFC · Entity 5154	10% owner	December 31, 2008	January 12, 2009
HAYES LEMMERZ INTERNATIONAL INCHAYZ · Entity 13551	10% owner	May 17, 2007	May 18, 2007
IMPSAT FIBER NETWORKS INCIMFN.OB · Entity 13803	10% owner	November 17, 2005	November 21, 2005
Intercontinental Exchange Holdings, Inc.ICE · Entity 13642	10% owner	July 21, 2006	July 24, 2006
Mondee Holdings, Inc.MOND · Entity 11455	10% owner	December 14, 2023	December 16, 2023
NUVEEN VIRGINIA DIVIDEND ADVANTAGE MUNICIPAL FUNDNGB · Entity 13345	10% owner	December 31, 2008	January 12, 2009
Nuveen Short Duration Credit Opportunities FundJSD · Entity 12407	10% owner	January 29, 2016	March 11, 2016
PREMIUM STANDARD FARMS, INC.PORK · Entity 13852	10% owner	June 17, 2005	June 17, 2005
PRGX GLOBAL, INC.PRGX · Entity 13616	10% owner	October 04, 2006	November 09, 2006
REMEC INCREMC · Entity 13101	10% owner	December 15, 2010	December 17, 2010
TRANSMONTAIGNE INCTMG · Entity 13635	10% owner	September 01, 2006	September 11, 2006
TRUMP ENTERTAINMENT RESORTS, INC.TRMP · Entity 13447	10% owner	March 11, 2008	March 13, 2008
VIATEL HOLDING BERMUDA LTDVTLAF · Entity 14066	10% owner	April 21, 2004	April 23, 2004
a21, Inc.ATWO · Entity 13366	10% owner	November 04, 2008	November 14, 2008

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Angel Oak Mortgage REIT, Inc.

Report date June 21, 2021 · Filed October 11, 2022 · Amendment

Jointly reported with NHTV Atlanta Holdings LP, MS Tactical Value Fund GP Inc., MS Tactical Value Fund GP LP, North Haven Tactical Value Fund LP, Project Atlanta GP LLC

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	5,172,061	Reported balance After 2021-06-21 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2021-06-21 · Other · Acquired 5,172,061 · Balance 5,172,061 F1: Reflects shares of the Issuer's common stock that NHTV Atlanta Holdings LP, in its capacity as a limited partner in Angel Oak Mortgage Fund, received immediately prior to the completion of the Issuer's initial public offering in a distribution by Angel Oak Mortgage Fund pursuant to the terms of the limited partnership agreement of Angel Oak Mortgage Fund. F2: The number of shares that the Reporting Persons were entitled to receive was calculated pursuant to the terms of the limited partnership agreement of Angel Oak Mortgage Fund. F3: Project Atlanta GP LLC is the general partner NHTV Atlanta Holdings LP. North Haven Tactical Value Fund LP is the sole member of Project Atlanta GP LLC. MS Tactical Value Fund GP LP is the general partner of North Haven Tactical Value Fund LP. MS Tactical Value Fund GP Inc., which is managed by its three-member board of directors, controls each of MS Tactical Value Fund GP LP, North Haven Tactical Value Fund LP, Project Atlanta GP LLC and NHTV Atlanta Holdings LP (together, the "NHTV Entities"). The NHTV Entities are indirectly controlled by Morgan Stanley.

Filing footnotes · ownership attribution and instrument terms

F1: Reflects shares of the Issuer's common stock that NHTV Atlanta Holdings LP, in its capacity as a limited partner in Angel Oak Mortgage Fund, received immediately prior to the completion of the Issuer's initial public offering in a distribution by Angel Oak Mortgage Fund pursuant to the terms of the limited partnership agreement of Angel Oak Mortgage Fund.

F2: The number of shares that the Reporting Persons were entitled to receive was calculated pursuant to the terms of the limited partnership agreement of Angel Oak Mortgage Fund.

F3: Project Atlanta GP LLC is the general partner NHTV Atlanta Holdings LP. North Haven Tactical Value Fund LP is the sole member of Project Atlanta GP LLC. MS Tactical Value Fund GP LP is the general partner of North Haven Tactical Value Fund LP. MS Tactical Value Fund GP Inc., which is managed by its three-member board of directors, controls each of MS Tactical Value Fund GP LP, North Haven Tactical Value Fund LP, Project Atlanta GP LLC and NHTV Atlanta Holdings LP (together, the "NHTV Entities"). The NHTV Entities are indirectly controlled by Morgan Stanley.

BARRA INC /CA

Report date April 05, 2004 · Filed April 14, 2004

Jointly reported with MORGAN STANLEY RISK HOLDINGS INC

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance Holding disclosure · report date 2004-04-05 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 0 F1: The Reporting Person has filed a Schedule 13D in connection with its proposed acquisition of the Issuer. As disclosed therein, the Reporting Person has entered into a voting agreement with certain shareholders of the Issuer. The Reporting Person disclaims beneficial ownership of any security of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: The Reporting Person has filed a Schedule 13D in connection with its proposed acquisition of the Issuer. As disclosed therein, the Reporting Person has entered into a voting agreement with certain shareholders of the Issuer. The Reporting Person disclaims beneficial ownership of any security of the Issuer.

BLACKROCK MUNICIPAL INCOME QUALITY TRUST

Report date February 29, 2012 · Filed March 12, 2012

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	72	Reported balance Holding disclosure · report date 2012-02-29 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 72 F1: The reported securities are held by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are held by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent.

CALAMOS CONVERTIBLE OPPORTUNITIES & INCOME FUND

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Market PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	692	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 692

CALAMOS STRATEGIC TOTAL RETURN FUND

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Rate Cumulative PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	814	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 814

COHEN & STEERS ADVANTAGE INCOME REALTY FUND INC

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Market PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	435	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 435

COHEN & STEERS PREMIUM INCOME REALTY FUND INC

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Market PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	658	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 658

COHEN & STEERS QUALITY INCOME REALTY FUND INC

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Market PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	740	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 740

COHEN & STEERS REIT & PREFERRED & INCOME FUND INC

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Market PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	1,686	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,686

CRESCENT REAL ESTATE EQUITIES CO

Report date May 22, 2007 · Filed July 03, 2007

This filing explicitly reported no securities owned.

CRESCENT REAL ESTATE EQUITIES LTD PARTNERSHIP

Report date May 22, 2007 · Filed June 01, 2007

This filing explicitly reported no securities owned.

China XD Plastics Co Ltd

Report date September 30, 2019 · Filed October 09, 2019

Jointly reported with MS HOLDINGS INC, MORGAN STANLEY PRIVATE EQUITY ASIA III, INC., MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C., North Haven Private Equity Asia III, L.P., North Haven Private Equity Asia Employee Investors III, L.P., MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD, MSPEA MODIFIED PLASTICS HOLDING LTD

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnotes	16,000,000	Reported balance After 2019-09-30 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2019-09-30 · Grant · Acquired 16,000,000 · Balance 16,000,000 F1: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) North Haven Private Equity Asia III, L.P., a Cayman Islands limited partnership ("NH LP"), (vi) North Haven Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("NH Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Modified Plastics Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F3: (cont'd from FN2) MSPEA was the record holder of 16,000,000 shares (the "Preferred Shares") of Series D Junior Convertible Preferred Stock (the "Series D Preferred Stock"), par value $0.0001 per share. The Preferred Shares were convertible into Common Stock at any time on or after January 1, 2012 at the holder's election subject to CXDC's right to mandatorily convert the Preferred Shares in certain circumstances. The conversion price was $6.25 per share, subject to adjustments for any reorganization, recapitalization, consolidation or reclassification, stock dividend, stock split, reverse stock split, combination or other like changes in the Company's capital structure. Pursuant to a written notice (the "Written Notice") delivered by the Issuer to MSPEA on September 26, 2019, the 16,000,000 Series D Preferred Stock then held by MSPEA were mandatorily converted into 16,000,000 shares of Common Stock (the "Common Stock") on September 30, 2019. F4: (cont'd from FN3) MS Parent may be deemed to have beneficially owned the Preferred Shares and may be deemed to beneficially own the Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F2: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both NH LP and NH Employee. NH LP holds 92.13% of MSPEA Holdings and NH Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F5: (cont'd from FN4) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it was or is the beneficial owner of any Preferred Shares or Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. Upon the mandatory conversion of the Preferred Stock, MSPEA's nominees to the Issuer's board of directors, Mr. Homer Sun and Ryan Law, who were appointed directors of the Issuer on January 1, 2012 and April 26, 2019, respectively, were automatically terminated on September 30, 2019. By virtue of such termination, each of the Reporting Persons is no longer a director by deputization.
Series D Jr. Convertible Preferred Stock, par value $0.0001SEC Table II · derivative / convertible security · Expires 2022-01-01	IndirectSee Footnotes	0	Reported balance After 2019-09-30 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-09-30 · Conversion · Disposed 16,000,000 · Balance 0 F3: (cont'd from FN2) MSPEA was the record holder of 16,000,000 shares (the "Preferred Shares") of Series D Junior Convertible Preferred Stock (the "Series D Preferred Stock"), par value $0.0001 per share. The Preferred Shares were convertible into Common Stock at any time on or after January 1, 2012 at the holder's election subject to CXDC's right to mandatorily convert the Preferred Shares in certain circumstances. The conversion price was $6.25 per share, subject to adjustments for any reorganization, recapitalization, consolidation or reclassification, stock dividend, stock split, reverse stock split, combination or other like changes in the Company's capital structure. Pursuant to a written notice (the "Written Notice") delivered by the Issuer to MSPEA on September 26, 2019, the 16,000,000 Series D Preferred Stock then held by MSPEA were mandatorily converted into 16,000,000 shares of Common Stock (the "Common Stock") on September 30, 2019. F4: (cont'd from FN3) MS Parent may be deemed to have beneficially owned the Preferred Shares and may be deemed to beneficially own the Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F1: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) North Haven Private Equity Asia III, L.P., a Cayman Islands limited partnership ("NH LP"), (vi) North Haven Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("NH Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Modified Plastics Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both NH LP and NH Employee. NH LP holds 92.13% of MSPEA Holdings and NH Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F5: (cont'd from FN4) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it was or is the beneficial owner of any Preferred Shares or Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. Upon the mandatory conversion of the Preferred Stock, MSPEA's nominees to the Issuer's board of directors, Mr. Homer Sun and Ryan Law, who were appointed directors of the Issuer on January 1, 2012 and April 26, 2019, respectively, were automatically terminated on September 30, 2019. By virtue of such termination, each of the Reporting Persons is no longer a director by deputization.

Filing footnotes · ownership attribution and instrument terms

F1: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) North Haven Private Equity Asia III, L.P., a Cayman Islands limited partnership ("NH LP"), (vi) North Haven Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("NH Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Modified Plastics Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons").

F2: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both NH LP and NH Employee. NH LP holds 92.13% of MSPEA Holdings and NH Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA.

F3: (cont'd from FN2) MSPEA was the record holder of 16,000,000 shares (the "Preferred Shares") of Series D Junior Convertible Preferred Stock (the "Series D Preferred Stock"), par value $0.0001 per share. The Preferred Shares were convertible into Common Stock at any time on or after January 1, 2012 at the holder's election subject to CXDC's right to mandatorily convert the Preferred Shares in certain circumstances. The conversion price was $6.25 per share, subject to adjustments for any reorganization, recapitalization, consolidation or reclassification, stock dividend, stock split, reverse stock split, combination or other like changes in the Company's capital structure. Pursuant to a written notice (the "Written Notice") delivered by the Issuer to MSPEA on September 26, 2019, the 16,000,000 Series D Preferred Stock then held by MSPEA were mandatorily converted into 16,000,000 shares of Common Stock (the "Common Stock") on September 30, 2019.

F4: (cont'd from FN3) MS Parent may be deemed to have beneficially owned the Preferred Shares and may be deemed to beneficially own the Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998).

F5: (cont'd from FN4) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it was or is the beneficial owner of any Preferred Shares or Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. Upon the mandatory conversion of the Preferred Stock, MSPEA's nominees to the Issuer's board of directors, Mr. Homer Sun and Ryan Law, who were appointed directors of the Issuer on January 1, 2012 and April 26, 2019, respectively, were automatically terminated on September 30, 2019. By virtue of such termination, each of the Reporting Persons is no longer a director by deputization.

Community Bankers Trust Corp

Report date May 28, 2008 · Filed June 09, 2008

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	1,100,000	Reported balance Holding disclosure · report date 2008-05-28 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 1,100,000 F4: Subsequent to the purchases reported herein, on June 2, 2008 the issuer announced the consummation, on May 31, 2008, of two mergers, pursuant to which additional shares of stock of the issuer were issued. Based on preliminary information regarding the number of shares of issuer common stock outstanding after these transactions, the reporting person believes that its percentage ownership as of the date of this filing is less than 5%. Unless this belief is shown to be in error by subsequent information as to outstanding shares, the reporting person will make no further filings under Section 16(a) in respect of the positions reported herein. F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required.
Option (Right to Acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2010-06-07	IndirectBy Subsidiary	Not disclosed	Reported balance Holding disclosure · report date 2008-05-28 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F2: The option becomes exercisable sooner if there is a "Fundamental Transaction" affecting the issuer, as defined under the terms of the option and, in the case of the option to acquire warrants, if the warrants are called by the issuer in accordance with their terms. The options remain exercisable for one year after becoming exercisable. The right to exercise is further limited by the amount of common shares reported on Table I held by the reporting person at the time of exercise. F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required.
Option (Right to Acquire)SEC Table II · derivative / convertible security · Conversion / exercise price $0.10 · Expires 2010-06-07	IndirectBy Subsidiary	Not disclosed	Reported balance Holding disclosure · report date 2008-05-28 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F2: The option becomes exercisable sooner if there is a "Fundamental Transaction" affecting the issuer, as defined under the terms of the option and, in the case of the option to acquire warrants, if the warrants are called by the issuer in accordance with their terms. The options remain exercisable for one year after becoming exercisable. The right to exercise is further limited by the amount of common shares reported on Table I held by the reporting person at the time of exercise. F3: The warrant represents the right to buy one share of common stock for $5.00 and expires June 11, 2011. F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required.

F2: The option becomes exercisable sooner if there is a "Fundamental Transaction" affecting the issuer, as defined under the terms of the option and, in the case of the option to acquire warrants, if the warrants are called by the issuer in accordance with their terms. The options remain exercisable for one year after becoming exercisable. The right to exercise is further limited by the amount of common shares reported on Table I held by the reporting person at the time of exercise.

F3: The warrant represents the right to buy one share of common stock for $5.00 and expires June 11, 2011.

F4: Subsequent to the purchases reported herein, on June 2, 2008 the issuer announced the consummation, on May 31, 2008, of two mergers, pursuant to which additional shares of stock of the issuer were issued. Based on preliminary information regarding the number of shares of issuer common stock outstanding after these transactions, the reporting person believes that its percentage ownership as of the date of this filing is less than 5%. Unless this belief is shown to be in error by subsequent information as to outstanding shares, the reporting person will make no further filings under Section 16(a) in respect of the positions reported herein.

DISTRIBUTED ENERGY SYSTEMS CORP

Report date May 29, 2008 · Filed June 02, 2008

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy subsidiary	36,565	Reported balance After 2008-05-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2008-05-29 · Sale · Disposed 32 · Balance 36,565 F1: Prices are rounded to the nearest 1/100th.
Common StockSEC Table I · non-derivative	IndirectBy subsidiary	36,365	Reported balance After 2008-05-29 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2008-05-29 · Sale · Disposed 200 · Balance 36,365 F1: Prices are rounded to the nearest 1/100th.
Common StockSEC Table I · non-derivative	IndirectBy subsidiary	36,265	Reported balance After 2008-05-30 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2008-05-30 · Sale · Disposed 100 · Balance 36,265 F1: Prices are rounded to the nearest 1/100th.

Filing footnotes · ownership attribution and instrument terms

F1: Prices are rounded to the nearest 1/100th.

EATON VANCE NEW JERSEY MUNICIPAL INCOME TRUST

Report date February 24, 2016 · Filed March 04, 2016

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Institutional MuniFund Term PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	300	Reported balance Holding disclosure · report date 2016-02-24 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 300

Eaton Vance Senior Income Trust

Report date September 15, 2026 · Filed September 17, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Preferred StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2026-09-15 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2026-09-15 · Other · Disposed 94 · Balance 0 F1: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission on September 22, 2008. The Reporting Person is an affiliate of the Issuer's investment adviser. F2: The reported securities were disposed of pursuant to a mandatory redemption by the Issuer, at liquidation preference of $25,000 plus any accumulated but unpaid dividends through September 15, 2026. In this regard, the Reporting Person disposed of shares of Series A and Series B Auction Preferred Stock, which were redeemed at $25,012.175 and $25,008.161111, respectively, due to slight differences in the accrued dividends.

Filing footnotes · ownership attribution and instrument terms

F2: The reported securities were disposed of pursuant to a mandatory redemption by the Issuer, at liquidation preference of $25,000 plus any accumulated but unpaid dividends through September 15, 2026. In this regard, the Reporting Person disposed of shares of Series A and Series B Auction Preferred Stock, which were redeemed at $25,012.175 and $25,008.161111, respectively, due to slight differences in the accrued dividends.

FLAHERTY & CRUMRINE TOTAL RETURN FUND INC

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Market PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	355	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 355

Feihe International Inc

Report date June 27, 2013 · Filed June 28, 2013

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.001 par value per shareSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2013-06-27 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2013-06-27 · Other · Disposed 81,565 · Balance 0 F1: On June 27, 2013, Feihe International, Inc. (the "Issuer") completed the merger pursuant to that certain Agreement and Plan of Merger dated as of March 3, 2013 (the "Merger Agreement"), by and among the Issuer, Diamond Infant Formula Holding Limited, an exempted company with limited liability incorporated under the laws of the Cayman Islands ("Holdco"), Platinum Infant Formula Holding Limited, an exempted company with limited liability incorporated under the laws of the Cayman Islands ("Parent"), and Infant Formula Merger Sub Holding Inc., a Utah corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Parent. As a result of the Merger, Morgan Stanley's shares of Issuer Common Stock were converted into the right to receive the consideration payable in the Merger of $7.40 in cash per share. F2: Morgan Stanley may be deemed to beneficially own shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of Morgan Stanley, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with Securities and Exchange Commission Release No. 34-39538 (1/12/98). Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by MS that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and MS expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any.

Filing footnotes · ownership attribution and instrument terms

F1: On June 27, 2013, Feihe International, Inc. (the "Issuer") completed the merger pursuant to that certain Agreement and Plan of Merger dated as of March 3, 2013 (the "Merger Agreement"), by and among the Issuer, Diamond Infant Formula Holding Limited, an exempted company with limited liability incorporated under the laws of the Cayman Islands ("Holdco"), Platinum Infant Formula Holding Limited, an exempted company with limited liability incorporated under the laws of the Cayman Islands ("Parent"), and Infant Formula Merger Sub Holding Inc., a Utah corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Parent. As a result of the Merger, Morgan Stanley's shares of Issuer Common Stock were converted into the right to receive the consideration payable in the Merger of $7.40 in cash per share.

F2: Morgan Stanley may be deemed to beneficially own shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of Morgan Stanley, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with Securities and Exchange Commission Release No. 34-39538 (1/12/98). Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by MS that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and MS expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any.

Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INC

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Market PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	780	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 780

HAYES LEMMERZ INTERNATIONAL INC

Report date May 17, 2007 · Filed May 18, 2007

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	2,160,113	Reported balance After 2007-05-17 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2007-05-17 · Sale · Disposed 23,400 · Balance 2,160,113 F1: Morgan Stanley became a 10% Owner due to the approval by shareholders of HAYES LEMMERZ INTERNATIONAL, INC. on May 4, 2007, of, inter alia, a rights offering of up to $180,000,000 to holders of the Company's outstanding Common Stock as of April 10, 2007, through the issuance of 55,384,615 rights to purchase one share of Common Stock at an exercise price of $3.25 per share. The rights are due to expire on May 21, 2007, and the Reporting Person's status as a greater than 10% beneficial owner under the calculation methodology specified in Rule 13d-3 is not expected to continue after such date.

Filing footnotes · ownership attribution and instrument terms

F1: Morgan Stanley became a 10% Owner due to the approval by shareholders of HAYES LEMMERZ INTERNATIONAL, INC. on May 4, 2007, of, inter alia, a rights offering of up to $180,000,000 to holders of the Company's outstanding Common Stock as of April 10, 2007, through the issuance of 55,384,615 rights to purchase one share of Common Stock at an exercise price of $3.25 per share. The rights are due to expire on May 21, 2007, and the Reporting Person's status as a greater than 10% beneficial owner under the calculation methodology specified in Rule 13d-3 is not expected to continue after such date.

IMPSAT FIBER NETWORKS INC

Report date November 17, 2005 · Filed November 21, 2005

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.00 · Expires 2011-05-19	Indirectthrough a subsidiary	30,000	Reported balance After 2005-11-17 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2005-11-17 · Grant · Acquired 10,000 · Balance 30,000 F1: See Joint Filer Information F2: The Stock Options are owned by Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.05 · Expires 2012-09-30	Indirectthrough a subsidiary	62,546	Reported balance After 2005-11-17 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2005-11-17 · Grant · Acquired 32,546 · Balance 62,546 F1: See Joint Filer Information F2: The Stock Options are owned by Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley

Filing footnotes · ownership attribution and instrument terms

F1: See Joint Filer Information

F2: The Stock Options are owned by Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley

Intercontinental Exchange Holdings, Inc.

Report date July 21, 2006 · Filed July 24, 2006

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01SEC Table I · non-derivative	IndirectSee Note	4,154,722	Reported balance After 2006-07-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2006-07-21 · Sale · Disposed 1,987,934 · Balance 4,154,722 F1: Includes shares of Common Stock sold by Morgan Stanley Capital Group Inc. ("MSCG"). F2: Includes 32,570 shares of Common Stock held directly by Morgan Stanley & Co. International Limited ("MSIL"). F3: Each of MSCG and MSIL is a wholly-owned subsidiary of Morgan Stanley. MSCG and MSIL each directly own shares of Common Stock of the Issuer. See Exhibit 99.1 - Joint Filer Information.

Filing footnotes · ownership attribution and instrument terms

F1: Includes shares of Common Stock sold by Morgan Stanley Capital Group Inc. ("MSCG").

F2: Includes 32,570 shares of Common Stock held directly by Morgan Stanley & Co. International Limited ("MSIL").

F3: Each of MSCG and MSIL is a wholly-owned subsidiary of Morgan Stanley. MSCG and MSIL each directly own shares of Common Stock of the Issuer. See Exhibit 99.1 - Joint Filer Information.

Mondee Holdings, Inc.

Report date December 14, 2023 · Filed December 16, 2023

Jointly reported with MS Capital Partners Adviser Inc

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series A-3 Preferred Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee Footnote	1,300	Reported balance After 2023-12-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2023-12-14 · Purchase · Acquired 1,300 · Balance 1,300 F1: This statement is being filed by Morgan Stanley ("MS Parent") and MS Capital Partners Adviser Inc. ("Adviser"). MS is the indirect parent of the general partners of a fund (the "Private Fund") that holds the shares reported herein. The Adviser, an indirect subsidiary of MS Parent, is the investment manager of the Private Fund. The Private Fund paid $1,300,000 in cash to Mondee Holdings, Inc. (the "Issuer") for 1,300 shares of Issuer Series A-3 Preferred Stock, par value $0.0001 per share (the "Series A-3 Preferred Stock," and, together with the Series A Preferred Stock and Series A-2 Preferred Stock defined in footnote 4, the "Preferred Stock") and warrants (the "New Warrants," and, together with the Amended Warrants defined in footnote 4, the "Warrants") to purchase 19,500 shares of Issuer Class A Common Stock, par value $0.0001 per share (the "Common Stock"). F2: As a result of the relationships described in footnote 1 among each of MS and the Adviser, on the one hand, and the Private Fund, on the other hand, each of MS and the Adviser may be deemed to share beneficial ownership over the Common Stock, Preferred Stock and Warrants (together, the "Issuer Securities") held by the Private Fund. F3: Each of MS and the Adviser disclaims beneficial ownership of the Issuer Securities included herein except to the extent of its pecuniary interest therein, if any, and the inclusion of such Issuer Securities in this report shall not be deemed to be an admission of beneficial ownership of such Issuer Securities for the purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
Series A-2 Preferred Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee Footnote	10,000	Reported balance After 2023-12-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2023-12-14 · Other · Acquired 10,000 · Balance 10,000 F4: In connection with the Private Fund's purchases described in footnote 1, the Issuer and the Private Fund agreed to exchange 10,000 shares of Issuer Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), held by the Private Fund, for an equal number of shares of the Issuer's Series A-2 Preferred Stock, par value $0.0001 per share (the "Series A-2 Preferred Stock"), and to amend the exercise price and expiration date of certain warrants (the "Amended Warrants") entitling the Private Fund to purchase 150,000 shares of Common Stock. F2: As a result of the relationships described in footnote 1 among each of MS and the Adviser, on the one hand, and the Private Fund, on the other hand, each of MS and the Adviser may be deemed to share beneficial ownership over the Common Stock, Preferred Stock and Warrants (together, the "Issuer Securities") held by the Private Fund. F3: Each of MS and the Adviser disclaims beneficial ownership of the Issuer Securities included herein except to the extent of its pecuniary interest therein, if any, and the inclusion of such Issuer Securities in this report shall not be deemed to be an admission of beneficial ownership of such Issuer Securities for the purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
Series A Preferred Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2023-12-14 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2023-12-14 · Other · Disposed 10,000 · Balance 0 F4: In connection with the Private Fund's purchases described in footnote 1, the Issuer and the Private Fund agreed to exchange 10,000 shares of Issuer Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), held by the Private Fund, for an equal number of shares of the Issuer's Series A-2 Preferred Stock, par value $0.0001 per share (the "Series A-2 Preferred Stock"), and to amend the exercise price and expiration date of certain warrants (the "Amended Warrants") entitling the Private Fund to purchase 150,000 shares of Common Stock. F2: As a result of the relationships described in footnote 1 among each of MS and the Adviser, on the one hand, and the Private Fund, on the other hand, each of MS and the Adviser may be deemed to share beneficial ownership over the Common Stock, Preferred Stock and Warrants (together, the "Issuer Securities") held by the Private Fund. F3: Each of MS and the Adviser disclaims beneficial ownership of the Issuer Securities included herein except to the extent of its pecuniary interest therein, if any, and the inclusion of such Issuer Securities in this report shall not be deemed to be an admission of beneficial ownership of such Issuer Securities for the purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
Warrants to purchase Class A Common Stock, par value $0.0001SEC Table II · derivative / convertible security · Conversion / exercise price $7.50 · Expires 2027-09-29	IndirectSee Footnote	19,500	Reported balance After 2023-12-14 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2023-12-14 · Purchase · Acquired 19,500 · Balance 19,500 F1: This statement is being filed by Morgan Stanley ("MS Parent") and MS Capital Partners Adviser Inc. ("Adviser"). MS is the indirect parent of the general partners of a fund (the "Private Fund") that holds the shares reported herein. The Adviser, an indirect subsidiary of MS Parent, is the investment manager of the Private Fund. The Private Fund paid $1,300,000 in cash to Mondee Holdings, Inc. (the "Issuer") for 1,300 shares of Issuer Series A-3 Preferred Stock, par value $0.0001 per share (the "Series A-3 Preferred Stock," and, together with the Series A Preferred Stock and Series A-2 Preferred Stock defined in footnote 4, the "Preferred Stock") and warrants (the "New Warrants," and, together with the Amended Warrants defined in footnote 4, the "Warrants") to purchase 19,500 shares of Issuer Class A Common Stock, par value $0.0001 per share (the "Common Stock"). F2: As a result of the relationships described in footnote 1 among each of MS and the Adviser, on the one hand, and the Private Fund, on the other hand, each of MS and the Adviser may be deemed to share beneficial ownership over the Common Stock, Preferred Stock and Warrants (together, the "Issuer Securities") held by the Private Fund. F3: Each of MS and the Adviser disclaims beneficial ownership of the Issuer Securities included herein except to the extent of its pecuniary interest therein, if any, and the inclusion of such Issuer Securities in this report shall not be deemed to be an admission of beneficial ownership of such Issuer Securities for the purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
Warrants to purchase Class A Common Stock, par value $0.0001SEC Table II · derivative / convertible security · Conversion / exercise price $11.50 · Expires 2027-09-29	IndirectSee Footnote	0	Reported balance After 2023-12-14 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2023-12-14 · Other · Disposed 150,000 · Balance 0 F4: In connection with the Private Fund's purchases described in footnote 1, the Issuer and the Private Fund agreed to exchange 10,000 shares of Issuer Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), held by the Private Fund, for an equal number of shares of the Issuer's Series A-2 Preferred Stock, par value $0.0001 per share (the "Series A-2 Preferred Stock"), and to amend the exercise price and expiration date of certain warrants (the "Amended Warrants") entitling the Private Fund to purchase 150,000 shares of Common Stock. F2: As a result of the relationships described in footnote 1 among each of MS and the Adviser, on the one hand, and the Private Fund, on the other hand, each of MS and the Adviser may be deemed to share beneficial ownership over the Common Stock, Preferred Stock and Warrants (together, the "Issuer Securities") held by the Private Fund. F3: Each of MS and the Adviser disclaims beneficial ownership of the Issuer Securities included herein except to the extent of its pecuniary interest therein, if any, and the inclusion of such Issuer Securities in this report shall not be deemed to be an admission of beneficial ownership of such Issuer Securities for the purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934 or for any other purpose.
Warrants to purchase Class A Common Stock, par value $0.0001SEC Table II · derivative / convertible security · Conversion / exercise price $7.50 · Expires 2027-09-29	IndirectSee Footnote	150,000	Reported balance After 2023-12-14 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2023-12-14 · Other · Acquired 150,000 · Balance 150,000 F4: In connection with the Private Fund's purchases described in footnote 1, the Issuer and the Private Fund agreed to exchange 10,000 shares of Issuer Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), held by the Private Fund, for an equal number of shares of the Issuer's Series A-2 Preferred Stock, par value $0.0001 per share (the "Series A-2 Preferred Stock"), and to amend the exercise price and expiration date of certain warrants (the "Amended Warrants") entitling the Private Fund to purchase 150,000 shares of Common Stock. F2: As a result of the relationships described in footnote 1 among each of MS and the Adviser, on the one hand, and the Private Fund, on the other hand, each of MS and the Adviser may be deemed to share beneficial ownership over the Common Stock, Preferred Stock and Warrants (together, the "Issuer Securities") held by the Private Fund. F3: Each of MS and the Adviser disclaims beneficial ownership of the Issuer Securities included herein except to the extent of its pecuniary interest therein, if any, and the inclusion of such Issuer Securities in this report shall not be deemed to be an admission of beneficial ownership of such Issuer Securities for the purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934 or for any other purpose.

Filing footnotes · ownership attribution and instrument terms

F1: This statement is being filed by Morgan Stanley ("MS Parent") and MS Capital Partners Adviser Inc. ("Adviser"). MS is the indirect parent of the general partners of a fund (the "Private Fund") that holds the shares reported herein. The Adviser, an indirect subsidiary of MS Parent, is the investment manager of the Private Fund. The Private Fund paid $1,300,000 in cash to Mondee Holdings, Inc. (the "Issuer") for 1,300 shares of Issuer Series A-3 Preferred Stock, par value $0.0001 per share (the "Series A-3 Preferred Stock," and, together with the Series A Preferred Stock and Series A-2 Preferred Stock defined in footnote 4, the "Preferred Stock") and warrants (the "New Warrants," and, together with the Amended Warrants defined in footnote 4, the "Warrants") to purchase 19,500 shares of Issuer Class A Common Stock, par value $0.0001 per share (the "Common Stock").

F2: As a result of the relationships described in footnote 1 among each of MS and the Adviser, on the one hand, and the Private Fund, on the other hand, each of MS and the Adviser may be deemed to share beneficial ownership over the Common Stock, Preferred Stock and Warrants (together, the "Issuer Securities") held by the Private Fund.

F3: Each of MS and the Adviser disclaims beneficial ownership of the Issuer Securities included herein except to the extent of its pecuniary interest therein, if any, and the inclusion of such Issuer Securities in this report shall not be deemed to be an admission of beneficial ownership of such Issuer Securities for the purposes of Section 13(d) or Section 16 of the Securities Exchange Act of 1934 or for any other purpose.

F4: In connection with the Private Fund's purchases described in footnote 1, the Issuer and the Private Fund agreed to exchange 10,000 shares of Issuer Series A Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), held by the Private Fund, for an equal number of shares of the Issuer's Series A-2 Preferred Stock, par value $0.0001 per share (the "Series A-2 Preferred Stock"), and to amend the exercise price and expiration date of certain warrants (the "Amended Warrants") entitling the Private Fund to purchase 150,000 shares of Common Stock.

NUVEEN VIRGINIA DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date December 31, 2008 · Filed January 12, 2009

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Municipal Auction Rate Cumulative PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	102	Reported balance Holding disclosure · report date 2008-12-31 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 102

Nuveen Short Duration Credit Opportunities Fund

Report date January 29, 2016 · Filed March 11, 2016

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	1,938	Reported balance After 2016-01-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2016-01-29 · Purchase · Acquired 8 · Balance 1,938 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	1,930	Reported balance After 2016-01-29 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2016-01-29 · Sale · Disposed 8 · Balance 1,930 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	400	Reported balance After 2016-02-04 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2016-02-04 · Sale · Disposed 1,530 · Balance 400 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	200	Reported balance After 2016-02-05 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2016-02-05 · Sale · Disposed 200 · Balance 200 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2016-02-05 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2016-02-05 · Sale · Disposed 200 · Balance 0 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	286	Reported balance After 2016-02-09 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2016-02-09 · Purchase · Acquired 286 · Balance 286 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	200	Reported balance After 2016-02-09 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2016-02-09 · Sale · Disposed 86 · Balance 200 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	100	Reported balance After 2016-02-09 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 8 · 2016-02-09 · Sale · Disposed 100 · Balance 100 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2016-02-09 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 9 · 2016-02-09 · Sale · Disposed 100 · Balance 0 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2016-03-02 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 10 · 2016-03-02 · Sale · Disposed 6,000 · Balance 0 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2016-03-11 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 11 · 2016-03-11 · Purchase · Acquired 6,000 · Balance 0 F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Without admitting any legal obligation, the Reporting Person will remit appropriate profits, if any, to the Issuer.

PREMIUM STANDARD FARMS, INC.

Report date June 17, 2005 · Filed June 17, 2005

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,102,580	Reported balance After 2005-06-17 transaction · row 1 1 source row Row 1 · 2005-06-17 · Sale · Disposed 2,069,411 · Balance 1,102,580
Common StockSEC Table I · non-derivative	Indirectthrough a subsidiary.	39,249	Reported balance After 2005-06-17 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2005-06-17 · Sale · Disposed 73,666 · Balance 39,249 F1: See Joint Filer Information. F2: The reported securities are owned directly by Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley.

Filing footnotes · ownership attribution and instrument terms

F1: See Joint Filer Information.

F2: The reported securities are owned directly by Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley.

PRGX GLOBAL, INC.

Report date October 04, 2006 · Filed November 09, 2006

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	16,005	Last balance in matching sequence After 2006-10-05 transaction · row 18 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 18 source rows Row 1 · 2006-10-04 · Purchase · Acquired 300 · Balance 15,505 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 2 · 2006-10-04 · Purchase · Acquired 1,400 · Balance 16,905 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 3 · 2006-10-04 · Purchase · Acquired 300 · Balance 17,205 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 4 · 2006-10-04 · Purchase · Acquired 200 · Balance 17,405 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 5 · 2006-10-05 · Sale · Disposed 100 · Balance 17,305 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 6 · 2006-10-05 · Sale · Disposed 100 · Balance 17,205 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 7 · 2006-10-05 · Sale · Disposed 100 · Balance 17,105 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 8 · 2006-10-05 · Sale · Disposed 100 · Balance 17,005 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 9 · 2006-10-05 · Sale · Disposed 100 · Balance 16,905 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 10 · 2006-10-05 · Sale · Disposed 100 · Balance 16,805 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 11 · 2006-10-05 · Sale · Disposed 100 · Balance 16,705 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 12 · 2006-10-05 · Sale · Disposed 100 · Balance 16,605 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 13 · 2006-10-05 · Sale · Disposed 100 · Balance 16,505 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 14 · 2006-10-05 · Sale · Disposed 100 · Balance 16,405 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 15 · 2006-10-05 · Sale · Disposed 100 · Balance 16,305 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 16 · 2006-10-05 · Sale · Disposed 100 · Balance 16,205 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 17 · 2006-10-05 · Sale · Disposed 100 · Balance 16,105 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934. Row 18 · 2006-10-05 · Sale · Disposed 100 · Balance 16,005 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley. F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. Incorporated is a wholly owned subsidiary of Morgan Stanley. All securities held directly by Morgan Stanley & Co. Incorporated are held indirectly by Morgan Stanley.

F2: The reporting persons have disgorged to the issuer $34,902.23 in short-swing profits as a consequence of the transactions reported on the Forms 4 dated 11/09/2006 pursuant to Section 16(b) of the Exchange Act of 1934.

REMEC INC

Report date December 15, 2010 · Filed December 17, 2010

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	4,481,347	Last balance in matching sequence After 2010-12-16 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2010-12-15 · Sale · Disposed 115,000 · Balance 4,494,547 F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required. Row 2 · 2010-12-16 · Sale · Disposed 13,200 · Balance 4,481,347 F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required.

Filing footnotes · ownership attribution and instrument terms

TRANSMONTAIGNE INC

Report date September 01, 2006 · Filed September 11, 2006

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.01SEC Table I · non-derivative	IndirectSee Note	0	Reported balance After 2006-09-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2006-09-01 · Other · Disposed 43,950 · Balance 0 F1: Includes 43,550 shares of Common Stock held directly by Morgan Stanley DW Inc. ("MSDW") and 400 shares held directly by Morgan Stanley & Co. Incorporated. ("MS&Co."). Each of MSDW and MS&Co. is a wholly owned subsidiary of Morgan Stanley. F2: On September 1, 2006, Buffalo Merger Sub Inc. merged with and into TransMontaigne Inc. (the "Company"). Pursuant to the Agreement and Plan of Merger dated June 22, 2006, by and among Morgan Stanley Capital Group ("MSCGI"), Buffalo Merger Sub Inc. and the Company, each outstanding share of Common Stock, par value $0.01 of the Company, other than shares held by MSCGI or its subsidiaries, was converted into the right to receive $11.35 per share. MSCGI is a wholly owned subsidiary of Morgan Stanley.
Common Stock, par value $0.01SEC Table I · non-derivative	IndirectSee Note	0	Reported balance After 2006-09-01 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2006-09-01 · Other · Disposed 5,500,000 · Balance 0 F3: Represents 5,500,000 shares of Common Stock issued to MSCGI upon exercise of the warrants reported herein. F4: Pursuant to the merger, each outstanding share of Common Stock held by MSCGI after the exercise of the warrants reported herein was cancelled without any consideration issued in exchange therefor.
Common Stock, par value $0.01SEC Table I · non-derivative	IndirectSee Note	100	Reported balance After 2006-09-01 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2006-09-01 · Other · Acquired 100 · Balance 100 F5: Pursuant to the merger, each outstanding share of common stock of Buffalo Merger Sub Inc. was converted into a share of Common Stock.
WarrantsSEC Table II · derivative / convertible security · Conversion / exercise price $6.60 · Expires 2010-03-01	IndirectSee Note	0	Reported balance After 2006-09-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2006-09-01 · Other · Disposed 5,500,000 · Balance 0 F6: The warrants reported herein were held directly by MSCGI.

Filing footnotes · ownership attribution and instrument terms

F1: Includes 43,550 shares of Common Stock held directly by Morgan Stanley DW Inc. ("MSDW") and 400 shares held directly by Morgan Stanley & Co. Incorporated. ("MS&Co."). Each of MSDW and MS&Co. is a wholly owned subsidiary of Morgan Stanley.

F2: On September 1, 2006, Buffalo Merger Sub Inc. merged with and into TransMontaigne Inc. (the "Company"). Pursuant to the Agreement and Plan of Merger dated June 22, 2006, by and among Morgan Stanley Capital Group ("MSCGI"), Buffalo Merger Sub Inc. and the Company, each outstanding share of Common Stock, par value $0.01 of the Company, other than shares held by MSCGI or its subsidiaries, was converted into the right to receive $11.35 per share. MSCGI is a wholly owned subsidiary of Morgan Stanley.

F3: Represents 5,500,000 shares of Common Stock issued to MSCGI upon exercise of the warrants reported herein.

F4: Pursuant to the merger, each outstanding share of Common Stock held by MSCGI after the exercise of the warrants reported herein was cancelled without any consideration issued in exchange therefor.

F5: Pursuant to the merger, each outstanding share of common stock of Buffalo Merger Sub Inc. was converted into a share of Common Stock.

F6: The warrants reported herein were held directly by MSCGI.

TRUMP ENTERTAINMENT RESORTS, INC.

Report date March 11, 2008 · Filed March 13, 2008

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	5,551,963	Reported balance After 2008-03-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2008-03-11 · Sale · Disposed 400 · Balance 5,551,963 F1: Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley, is the beneficial owner of the shares.

Filing footnotes · ownership attribution and instrument terms

F1: Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley, is the beneficial owner of the shares.

VIATEL HOLDING BERMUDA LTD

Report date April 21, 2004 · Filed April 23, 2004

Security / award	Ownership account	Disclosed shares / units	Disclosure context
8% Convertible Senior Secured Note due 2014 (the "Notes")SEC Table II · derivative / convertible security	IndirectSee Footnote	49,329,689	Reported balance After 2004-04-21 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2004-04-21 · Purchase · Acquired 1 · Balance 49,329,689 F1: See Exhibit 99.1 - Joint Filer Information F2: The exact Conversion Price is not calculable at the present time because the Conversion Price used for such conversion is based upon a calculation of the total equity value of the Company, to be calculated at the time of conversion by the Board of Directors of the Issuer (subject to approval by the majority noteholders). The lowest Conversion Price that is applicable under the terms of the Notes is $0.75. F3: $36 million in aggregate principal amount of Notes were acquired. F4: The Notes may be converted in whole or in part for Common Shares at the then-applicable Conversion Price upon the earlier to occur of (a) a Liquidity Event (as such term is defined in the Form of 8% Convertible Senior Secured Note Due 2004 of the Issuer filed on April 23, 2004 as Exhibit 7 to the Reporting Person's Amendment No. 2 to the Report on Schedule 13D); filed April 23, 2004); (b) April 21, 2013; and (c) the Notes having been called for redemption by the Issuer. F5: The Notes will cease to be convertible into Common Stock upon the Issuer's payment in full of the aggregate principal amount on April 21, 2014, the maturity date, or upon any earlier repurchase or redemption of the Notes. F6: The exact number of Common Shares into which the Notes are convertible is not calculable at the present time because the Conversion Price used for such conversion is not yet known (see footnote 2 above). 48,000,000 shares represent the maximum number of Common Shares that the Notes may be converted into (assuming the Issuer does not elect to pay interest on the Notes in the form of additional Notes) pursuant to the terms of the Notes (which is based on a Conversion Price of $0.75, the lowest Conversion Price that is applicable under the terms of the Notes). F7: 49,329,689 shares including (a) 1,329,689 Common Shares beneficially owned by the Reporting Person, plus (b) 48,000,000 Common Shares into which the $36 million in aggregate principal amount of Notes beneficially owned by the Reporting Person may be converted (see footnote 6 above). F8: The Notes are owned directly by Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley.

Filing footnotes · ownership attribution and instrument terms

F1: See Exhibit 99.1 - Joint Filer Information

F2: The exact Conversion Price is not calculable at the present time because the Conversion Price used for such conversion is based upon a calculation of the total equity value of the Company, to be calculated at the time of conversion by the Board of Directors of the Issuer (subject to approval by the majority noteholders). The lowest Conversion Price that is applicable under the terms of the Notes is $0.75.

F3: $36 million in aggregate principal amount of Notes were acquired.

F4: The Notes may be converted in whole or in part for Common Shares at the then-applicable Conversion Price upon the earlier to occur of (a) a Liquidity Event (as such term is defined in the Form of 8% Convertible Senior Secured Note Due 2004 of the Issuer filed on April 23, 2004 as Exhibit 7 to the Reporting Person's Amendment No. 2 to the Report on Schedule 13D); filed April 23, 2004); (b) April 21, 2013; and (c) the Notes having been called for redemption by the Issuer.

F5: The Notes will cease to be convertible into Common Stock upon the Issuer's payment in full of the aggregate principal amount on April 21, 2014, the maturity date, or upon any earlier repurchase or redemption of the Notes.

F6: The exact number of Common Shares into which the Notes are convertible is not calculable at the present time because the Conversion Price used for such conversion is not yet known (see footnote 2 above). 48,000,000 shares represent the maximum number of Common Shares that the Notes may be converted into (assuming the Issuer does not elect to pay interest on the Notes in the form of additional Notes) pursuant to the terms of the Notes (which is based on a Conversion Price of $0.75, the lowest Conversion Price that is applicable under the terms of the Notes).

F7: 49,329,689 shares including (a) 1,329,689 Common Shares beneficially owned by the Reporting Person, plus (b) 48,000,000 Common Shares into which the $36 million in aggregate principal amount of Notes beneficially owned by the Reporting Person may be converted (see footnote 6 above).

F8: The Notes are owned directly by Morgan Stanley & Co. Incorporated, a wholly owned subsidiary of Morgan Stanley.

a21, Inc.

Report date November 04, 2008 · Filed November 14, 2008

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	10,812,195	Reported balance Holding disclosure · report date 2008-11-04 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 10,812,195
Secured convertible term notesSEC Table II · derivative / convertible security · Conversion / exercise price $0.65 · Expires 2011-03-31	IndirectBy Subsidiary	Not disclosed	Reported balance Holding disclosure · report date 2008-11-04 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F1: The Notes were issued April 27, 2006 and were immediately convertible at the holder's option. Pursuant to the terms of the Notes, under certain circumstances automatic conversion may be required.

Filing footnotes · ownership attribution and instrument terms

F1: The Notes were issued April 27, 2006 and were immediately convertible at the holder's option. Pursuant to the terms of the Notes, under certain circumstances automatic conversion may be required.

Past disclosures · reporting ended (45)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ALIMERA SCIENCES INC

Report date February 08, 2022 · Filed February 11, 2022

Section 16 reporting ended · disclosed 2022-02-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	557,551	Reported balance After 2022-02-08 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2022-02-08 · Sale · Disposed 250,000 · Balance 557,551

ATS CORP

Report date September 26, 2008 · Filed September 29, 2008

Section 16 reporting ended · disclosed 2008-09-29. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy subsidiary	0	Reported balance After 2008-09-26 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2008-09-26 · Sale · Disposed 2,278,600 · Balance 0

BLACKROCK INVESTMENT QUALITY MUNICIPAL INCOME TRUST

Report date June 29, 2012 · Filed July 03, 2012

Section 16 reporting ended · disclosed 2012-07-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Rate PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-06-29 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-06-29 · Other · Disposed 59 · Balance 0 F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends).

F2: Plus any accumulated but unpaid dividends.

BLACKROCK MUNI NEW YORK INTERMEDIATE DURATION FUND, INC.

Report date July 06, 2012 · Filed July 09, 2012

Section 16 reporting ended · disclosed 2012-07-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-07-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-07-06 · Sale · Disposed 151 · Balance 0 F1: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

BLACKROCK MUNICIPAL BOND INVESTMENT TRUST

Report date July 06, 2012 · Filed July 09, 2012

Section 16 reporting ended · disclosed 2012-07-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-07-06 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-07-06 · Sale · Disposed 93 · Balance 0 F1: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

Filing footnotes · ownership attribution and instrument terms

BLACKROCK MUNICIPAL INCOME INVESTMENT TRUST

Report date August 21, 2012 · Filed August 22, 2012

Section 16 reporting ended · disclosed 2012-08-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-08-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-08-21 · Sale · Disposed 51 · Balance 0 F1: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

Filing footnotes · ownership attribution and instrument terms

BLACKROCK MUNIYIELD QUALITY FUND, INC.

Report date May 09, 2012 · Filed May 10, 2012

Section 16 reporting ended · disclosed 2012-05-10. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-05-09 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-05-09 · Sale · Disposed 544 · Balance 0 F1: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

Filing footnotes · ownership attribution and instrument terms

BLACKROCK NEW JERSEY INVESTMENT QUALITY MUNICIPAL TRUST INC

Report date July 25, 2012 · Filed July 26, 2012

Section 16 reporting ended · disclosed 2012-07-26. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Rate Municipal PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-07-25 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-07-25 · Other · Disposed 33 · Balance 0 F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends).

F2: Plus any accumulated but unpaid dividends.

BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST

Report date June 28, 2012 · Filed June 29, 2012

Section 16 reporting ended · disclosed 2012-06-29. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-06-28 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-06-28 · Sale · Disposed 72 · Balance 0 F1: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

Filing footnotes · ownership attribution and instrument terms

BLACKROCK NEW YORK MUNICIPAL INCOME TRUST II

Report date March 23, 2012 · Filed March 26, 2012

Section 16 reporting ended · disclosed 2012-03-26. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-03-23 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-03-23 · Sale · Disposed 168 · Balance 0 F1: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

Filing footnotes · ownership attribution and instrument terms

Bio Green Med Solution, Inc.

Report date November 10, 2009 · Filed November 12, 2009

Section 16 reporting ended · disclosed 2009-11-12. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy subsidiary	2,276,852	Reported balance After 2009-11-10 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2009-11-10 · Sale · Disposed 328,850 · Balance 2,276,852 F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required.

Filing footnotes · ownership attribution and instrument terms

Bloom Energy Corp

Report date April 11, 2019 · Filed April 11, 2019

Section 16 reporting ended · disclosed 2019-04-11. Current position is not established by this disclosure.

No balance rows disclosed in this filing.

CADIZ INC

Report date February 02, 2006 · Filed February 06, 2006

Section 16 reporting ended · disclosed 2006-02-06. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,102,481	Reported balance After 2006-02-02 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2006-02-02 · Sale · Disposed 400,000 · Balance 1,102,481 F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. International Limited is a wholly owned subsidiary of Morgan Stanley. All shares held directly by Morgan Stanley & Co. International Limited are held indirectly by Morgan Stanley. F2: Additional short swing profit liability resulting from the transaction reported in this Form 4 has been calculated as $113,029.70 and has been disgorged to the issuer pursuant to section 16(b) of the Exchange Act of 1934.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is being filed by more than one reporting person. Morgan Stanley & Co. International Limited is a wholly owned subsidiary of Morgan Stanley. All shares held directly by Morgan Stanley & Co. International Limited are held indirectly by Morgan Stanley.

F2: Additional short swing profit liability resulting from the transaction reported in this Form 4 has been calculated as $113,029.70 and has been disgorged to the issuer pursuant to section 16(b) of the Exchange Act of 1934.

CHINA AUTOMOTIVE SYSTEMS INC

Report date August 16, 2018 · Filed August 17, 2018

Section 16 reporting ended · disclosed 2018-08-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	IndirectSee Footnotes	2,804	Reported balance Holding disclosure · report date 2018-08-16 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,804 F1: Morgan Stanley and Mr. Hanlin Chen submitted a notice of withdrawal to the special committee of the board of directors of the Issuer on August 16, 2018, which notified the Issuer that such parties had determined to withdraw the preliminary non-binding proposal (the "Proposal") to acquire all outstanding shares of common stock of the Company not owned by the Mr. Hanlin Chen and his affiliates, including Wiselink Holdings Limited, a company controlled by Mr. Hanlin Chen, and Ms. Liping Xie, his wife, in a going-private transaction, with immediate effect. F2: Morgan Stanley may be deemed to beneficially own 2,804 shares of Common Stock (the "Reporting Units Shares") held by its operating units (collectively, the "MS Reporting Units"). In accordance with Securities and Exchange Commission Release No. 34-39538 (January 12, 1998) (the "Release"), this filing reflects the securities beneficially owned by the MS Reporting Units of Morgan Stanley and its subsidiaries and affiliates (collectively, "MS Group"). This filing does not reflect securities, if any, beneficially owned by any affiliates or operating units of MS Group whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Release. Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by MS Group that it is the beneficial owner of any of such Reporting Units Shares beneficially owned by (i) any client accounts with respect to which the MS Reporting Units or (continued in footnote 3) F3: their employees have voting or investment discretion, or both, and (ii) certain investment entities of which the MS Reporting Units act as the general partner, managing general partner or other manager, to the extent interests in such entities are held by persons other than the MS Reporting Units, for purposes of Section 16 of the Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed.

Filing footnotes · ownership attribution and instrument terms

F1: Morgan Stanley and Mr. Hanlin Chen submitted a notice of withdrawal to the special committee of the board of directors of the Issuer on August 16, 2018, which notified the Issuer that such parties had determined to withdraw the preliminary non-binding proposal (the "Proposal") to acquire all outstanding shares of common stock of the Company not owned by the Mr. Hanlin Chen and his affiliates, including Wiselink Holdings Limited, a company controlled by Mr. Hanlin Chen, and Ms. Liping Xie, his wife, in a going-private transaction, with immediate effect.

F2: Morgan Stanley may be deemed to beneficially own 2,804 shares of Common Stock (the "Reporting Units Shares") held by its operating units (collectively, the "MS Reporting Units"). In accordance with Securities and Exchange Commission Release No. 34-39538 (January 12, 1998) (the "Release"), this filing reflects the securities beneficially owned by the MS Reporting Units of Morgan Stanley and its subsidiaries and affiliates (collectively, "MS Group"). This filing does not reflect securities, if any, beneficially owned by any affiliates or operating units of MS Group whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Release. Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by MS Group that it is the beneficial owner of any of such Reporting Units Shares beneficially owned by (i) any client accounts with respect to which the MS Reporting Units or (continued in footnote 3)

F3: their employees have voting or investment discretion, or both, and (ii) certain investment entities of which the MS Reporting Units act as the general partner, managing general partner or other manager, to the extent interests in such entities are held by persons other than the MS Reporting Units, for purposes of Section 16 of the Exchange Act, or for any other purpose, and such beneficial ownership is expressly disclaimed.

CROSS COUNTRY HEALTHCARE INC

Report date April 14, 2005 · Filed April 18, 2005

Jointly reported with MSDW IV 892 INVESTORS L P, MORGAN STANLEY DEAN WITTER CAPITAL INVESTORS IV L P

Section 16 reporting ended · disclosed 2005-04-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	Indirectthrough partnerships	0	Reported balance After 2005-04-14 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2005-04-14 · Sale · Disposed 3,955,264 · Balance 0 F1: Please see attached Joint Filer Information. The Reporting Person is filing solely in its capacity as parent company of, and indirect beneficial owner of securities held by, one of its business units. F2: The reported securities are owned directly by Morgan Stanley Dean Witter Capital Partners IV, L.P., MSDW IV 892 Investors, L.P. and Morgan Stanley Dean Witter Capital Investors IV, L.P. (collectively, the "MSDW IV Funds"). The Reporting Person is the ultimate parent company of MSDW Capital Partners IV, Inc. ("MSDWCP IV, Inc."), which is the institutional managing member of MSDW Capital Partners IV, LLC ("MSDWCP IV, LLC"). MSDWCP IV, LLC is the general partner of each of the MSDW IV Funds. The Reporting Person, MSDWCP IV, LLC and MSDWCP IV, Inc., each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein.
Common Stock, par value $0.0001 per shareSEC Table I · non-derivative	Indirectthrough partnerships	217,605	Reported balance After 2005-04-14 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2005-04-14 · Sale · Disposed 217,604 · Balance 217,605 F1: Please see attached Joint Filer Information. The Reporting Person is filing solely in its capacity as parent company of, and indirect beneficial owner of securities held by, one of its business units. F3: The reported securities are owned directly by Morgan Stanley Venture Partners III, L.P., Morgan Stanley Venture Investors III, L.P. and The Morgan Stanley Venture Partners Entrepreneur Fund, L.P. (collectively, the "MSDW III Funds"). The Reporting Person is the ultimate parent company of Morgan Stanley Venture Capital III, Inc. ("MSVC III, Inc."), which is the institutional managing member of Morgan Stanley Venture Partners III, L.L.C. ("MSVP III, L.L.C"). MSVP III, L.L.C. is the general partner of each of the MSDW III Funds. The Reporting Person, MSVP III, L.L.C. and MSVC III, Inc., each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein.

Filing footnotes · ownership attribution and instrument terms

F1: Please see attached Joint Filer Information. The Reporting Person is filing solely in its capacity as parent company of, and indirect beneficial owner of securities held by, one of its business units.

F2: The reported securities are owned directly by Morgan Stanley Dean Witter Capital Partners IV, L.P., MSDW IV 892 Investors, L.P. and Morgan Stanley Dean Witter Capital Investors IV, L.P. (collectively, the "MSDW IV Funds"). The Reporting Person is the ultimate parent company of MSDW Capital Partners IV, Inc. ("MSDWCP IV, Inc."), which is the institutional managing member of MSDW Capital Partners IV, LLC ("MSDWCP IV, LLC"). MSDWCP IV, LLC is the general partner of each of the MSDW IV Funds. The Reporting Person, MSDWCP IV, LLC and MSDWCP IV, Inc., each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein.

F3: The reported securities are owned directly by Morgan Stanley Venture Partners III, L.P., Morgan Stanley Venture Investors III, L.P. and The Morgan Stanley Venture Partners Entrepreneur Fund, L.P. (collectively, the "MSDW III Funds"). The Reporting Person is the ultimate parent company of Morgan Stanley Venture Capital III, Inc. ("MSVC III, Inc."), which is the institutional managing member of Morgan Stanley Venture Partners III, L.L.C. ("MSVP III, L.L.C"). MSVP III, L.L.C. is the general partner of each of the MSDW III Funds. The Reporting Person, MSVP III, L.L.C. and MSVC III, Inc., each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein.

CYPRESS BIOSCIENCE INC

Report date May 10, 2007 · Filed May 14, 2007

Section 16 reporting ended · disclosed 2007-05-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Standardized Call Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.50 · Expires 2007-06-16	IndirectBy Subsidiary	22,464	Reported balance After 2007-05-10 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2007-05-10 · Sale · Disposed 7,500 · Balance 22,464
Standardized Call Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.50 · Expires 2007-06-16	IndirectBy Subsidiary	14,964	Reported balance After 2007-05-10 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2007-05-10 · Sale · Disposed 7,500 · Balance 14,964

Constant Contact, Inc.

Report date September 18, 2008 · Filed September 22, 2008

Section 16 reporting ended · disclosed 2008-09-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,809,483	Last balance in matching sequence After 2008-09-18 transaction · row 13 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 13 source rows Row 1 · 2008-09-18 · Sale · Disposed 4,000 · Balance 3,442,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 2 · 2008-09-18 · Sale · Disposed 20,000 · Balance 3,422,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 3 · 2008-09-18 · Sale · Disposed 50,000 · Balance 3,372,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 4 · 2008-09-18 · Sale · Disposed 5,000 · Balance 3,367,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 5 · 2008-09-18 · Sale · Disposed 8,000 · Balance 3,359,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 6 · 2008-09-18 · Sale · Disposed 100,000 · Balance 3,259,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 7 · 2008-09-18 · Sale · Disposed 200,000 · Balance 3,059,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 8 · 2008-09-18 · Sale · Disposed 100,000 · Balance 2,959,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 9 · 2008-09-18 · Sale · Disposed 30,000 · Balance 2,929,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 10 · 2008-09-18 · Sale · Disposed 20,000 · Balance 2,909,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 11 · 2008-09-18 · Sale · Disposed 25,000 · Balance 2,884,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 12 · 2008-09-18 · Sale · Disposed 50,000 · Balance 2,834,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships. Row 13 · 2008-09-18 · Sale · Disposed 25,000 · Balance 2,809,483 F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein. F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units. F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships.

Filing footnotes · ownership attribution and instrument terms

F1: Consists of 2,432,392 shares held directly by Morgan Stanley Dean Witter Venture Partners IV, L.P. ("MSVP IV, LP"), 282,196 shares held directly by Morgan Stanley Dean Witter Venture Investors IV, L.P. ("MSVI IV, LP"), and 94,895 shares held directly by Morgan Stanley Dean Witter Venture Offshore Investors IV, L.P. ("MSVOI IV, LP" and, together with MSVP IV, LP and MSVI IV, LP, the "Partnerships"). MSDW Venture Partners IV, LLC (the "General Partner") is the general partner of each of the Partnerships. MSDW Venture Partners IV, Inc. (the "Member") is the managing member of the General Partner and a wholly-owned subsidiary of Morgan Stanley. The Reporting Person, the Member and the General Partner each disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interests therein.

F2: Morgan Stanley and the Partnerships are signing a Joint Filer Information. The Reporting Person is filing solely in its capacity as parent of an indirect beneficial owner of securities held by one of its business units.

F3: Except for MSDW Venture Partners IV, LLC, MSDW Venture Partners IV, Inc. and Morgan Stanley who hold the securities indirectly through the Partnerships.

DIGITALGLOBE, INC.

Report date February 27, 2013 · Filed February 28, 2013

Section 16 reporting ended · disclosed 2013-02-28. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	7,273,576	Reported balance After 2013-02-27 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2013-02-27 · Sale · Disposed 190,000 · Balance 7,273,576 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.51 to $27.48, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer 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 F2: Adjusted to correct previously reported total. F3: Consists of 7,273,076 shares held directly by Morgan Stanley Principal Investments, Inc. and 500 shares held directly by Morgan Stanley & Co. LLC. F4: Morgan Stanley is filing in its capacity as parent of, and indirect beneficial owner of securities held by, its wholly-owned subsidiaries Morgan Stanley Principal Investments, Inc. and Morgan Stanley & Co. LLC.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.51 to $27.48, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer 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

F2: Adjusted to correct previously reported total.

F3: Consists of 7,273,076 shares held directly by Morgan Stanley Principal Investments, Inc. and 500 shares held directly by Morgan Stanley & Co. LLC.

F4: Morgan Stanley is filing in its capacity as parent of, and indirect beneficial owner of securities held by, its wholly-owned subsidiaries Morgan Stanley Principal Investments, Inc. and Morgan Stanley & Co. LLC.

DNA X, Inc.

Report date October 12, 2021 · Filed October 14, 2021

Section 16 reporting ended · disclosed 2021-10-14. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	846,629	Reported balance After 2021-10-12 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2021-10-12 · Sale · Disposed 60,000 · Balance 846,629 F1: The price reported in Column 4 is a weighted average price of $2.02. The shares were sold in multiple transactions at prices ranging from $1.99 to $2.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer 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.

Filing footnotes · ownership attribution and instrument terms

F1: The price reported in Column 4 is a weighted average price of $2.02. The shares were sold in multiple transactions at prices ranging from $1.99 to $2.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer 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.

Discover Financial Services

Report date June 30, 2007 · Filed July 02, 2007

Section 16 reporting ended · disclosed 2007-07-02. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance After 2007-06-30 transaction · row 1 1 source row Row 1 · 2007-06-30 · Other · Disposed 526,233,761 · Balance 0 F1: The reporting person distributed the shares to its shareholders on a pro rata basis. F2: Pursuant to the Amended and Restated Articles of Incorporation of the Issuer, prior to the disposition reported herein, each of the Issuer's 1,000 shares of outstanding common stock was subdivided and converted into 526,233.761 shares of the Issuer's common stock.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person distributed the shares to its shareholders on a pro rata basis.

F2: Pursuant to the Amended and Restated Articles of Incorporation of the Issuer, prior to the disposition reported herein, each of the Issuer's 1,000 shares of outstanding common stock was subdivided and converted into 526,233.761 shares of the Issuer's common stock.

ELECTRIC CITY CORP

Report date December 19, 2003 · Filed April 26, 2004

Jointly reported with MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC, MSDW OIP INVESTORS INC, MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP

Section 16 reporting ended · disclosed 2004-04-26. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	25,068	Last balance in matching sequence After 2004-03-19 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 1 · 2003-12-19 · Sale · Disposed 32,086 · Balance 48,131 F3: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Row 2 · 2004-01-20 · Sale · Disposed 23,063 · Balance 25,068 F4: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Row 3 · 2004-03-19 · Conversion · Acquired 1,000,000 · Balance 1,025,068 F5: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Row 4 · 2004-03-19 · Sale · Disposed 1,000,000 · Balance 25,068 F5: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding.
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnotes.	347,432	Reported balance After 2003-12-19 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2003-12-19 · Sale · Disposed 160,000 · Balance 347,432 F9: The transaction is not an exercise or a conversion of derivative security. F3: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnotes.	232,432	Reported balance After 2004-01-20 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2004-01-20 · Sale · Disposed 115,000 · Balance 232,432 F9: The transaction is not an exercise or a conversion of derivative security. F4: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").
Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $10.00	IndirectSee footnotes.	132,432	Reported balance After 2004-03-19 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2004-03-19 · Conversion · Disposed 100,000 · Balance 132,432 F5: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").
Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Expires 2008-07-08	IndirectSee footnotes.	427,500	Reported balance After 2003-12-19 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2003-12-19 · Sale · Disposed 300,000 · Balance 427,500 F9: The transaction is not an exercise or a conversion of derivative security. F3: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").
Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Expires 2008-07-08	IndirectSee footnotes.	234,375	Reported balance After 2004-01-20 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2004-01-20 · Sale · Disposed 215,625 · Balance 234,375 F9: The transaction is not an exercise or a conversion of derivative security. F4: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnotes	84,859	Reported balance After 2004-03-19 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2004-03-19 · Other · Disposed 47,573 · Balance 84,859 F9: The transaction is not an exercise or a conversion of derivative security. F6: Equity Funding tendered 45,194 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $587,522, or $13 per share. Originators tendered 2,379 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $30,927, or $13 per share. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").
Series A Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnotes	0	Reported balance After 2004-03-19 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2004-03-19 · Other · Disposed 84,859 · Balance 0 F9: The transaction is not an exercise or a conversion of derivative security. F7: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").
Series E Convertible Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnotes	8,486	Reported balance After 2004-03-19 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2004-03-19 · Other · Acquired 8,486 · Balance 8,486 F9: The transaction is not an exercise or a conversion of derivative security. F7: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").

Filing footnotes · ownership attribution and instrument terms

F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").

F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding.

F3: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties.

F4: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties.

F5: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties.

F6: Equity Funding tendered 45,194 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $587,522, or $13 per share. Originators tendered 2,379 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $30,927, or $13 per share.

F7: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock.

F8: None.

F9: The transaction is not an exercise or a conversion of derivative security.

Eaton Vance Ltd Duration Income Fund

Report date September 19, 2018 · Filed September 21, 2018

Section 16 reporting ended · disclosed 2018-09-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Preferred StockSEC Table I · non-derivative	IndirectBy Subsidiary	584	Reported balance After 2018-09-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2018-09-19 · Sale · Disposed 557 · Balance 584 F1: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission (the "SEC") on September 22, 2008. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, complete information regarding the number of the Issuer's equity securities purchased or sold at each different price and date of all transactions in such securities that occurred after the Reporting Person became a 10% owner but prior to the date of this filing.

Filing footnotes · ownership attribution and instrument terms

F1: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission (the "SEC") on September 22, 2008. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, complete information regarding the number of the Issuer's equity securities purchased or sold at each different price and date of all transactions in such securities that occurred after the Reporting Person became a 10% owner but prior to the date of this filing.

Ensysce Biosciences, Inc.

Report date June 19, 2020 · Filed June 23, 2020

Section 16 reporting ended · disclosed 2020-06-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2020-06-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2020-06-19 · Sale · Disposed 776,290 · Balance 0 F1: Pursuant to the Issuer's Extension Amendment and the Trust Amendment proposals set forth in the Issuer's Proxy Statement filed with the Commission on June 2, 2020, the Issuer's public stockholders were offered the opportunity to redeem their shares in exchange for their pro rata portion of the funds available in the trust account at the time of the Special Meeting on June 23, 2020, which elections became irrevocable on June 19, 2020. Morgan Stanley elected to redeem its shares and will receive its per-share pro rata portion of the trust account, estimated by the Issuer to be approximately $10.44.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Issuer's Extension Amendment and the Trust Amendment proposals set forth in the Issuer's Proxy Statement filed with the Commission on June 2, 2020, the Issuer's public stockholders were offered the opportunity to redeem their shares in exchange for their pro rata portion of the funds available in the trust account at the time of the Special Meeting on June 23, 2020, which elections became irrevocable on June 19, 2020. Morgan Stanley elected to redeem its shares and will receive its per-share pro rata portion of the trust account, estimated by the Issuer to be approximately $10.44.

GENELABS TECHNOLOGIES INC /CA

Report date January 07, 2009 · Filed January 09, 2009

Section 16 reporting ended · disclosed 2009-01-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2009-01-07 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2009-01-07 · Sale · Disposed 5,374,343 · Balance 0 F2: The completion of the tender offer by Gemstone Acquisition Corporation ("Purchaser"), a wholly-owned subsidiary of SmithKline Beecham Corporation and a wholly-owned subsidiary of GlaxoSmithKline PLC, contemplated by the Agreement and Plan of Merger (the "Merger Agreement), dated as of October 29, 2008, occurred on January 6, 2009. Each share of common stock, no par value, of the Issuer held by the Reporting Person was accepted for payment by the Purchaser at a price of $1.30 per share, on January 7, 2009. F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required.

Filing footnotes · ownership attribution and instrument terms

F2: The completion of the tender offer by Gemstone Acquisition Corporation ("Purchaser"), a wholly-owned subsidiary of SmithKline Beecham Corporation and a wholly-owned subsidiary of GlaxoSmithKline PLC, contemplated by the Agreement and Plan of Merger (the "Merger Agreement), dated as of October 29, 2008, occurred on January 6, 2009. Each share of common stock, no par value, of the Issuer held by the Reporting Person was accepted for payment by the Purchaser at a price of $1.30 per share, on January 7, 2009.

GRAMERCY CAPITAL CORP

Report date December 27, 2007 · Filed April 07, 2008

Jointly reported with Morgan Stanley Real Estate Special Situations Fund III, L.P., SSF III Gemini, LP, SSF III Gemini GP, LLC, Morgan Stanley Real Estate Special Situations Fund III-GP, L.L.C., MSRESS III Manager, L.L.C., MSRESS III, Inc.

Section 16 reporting ended · disclosed 2008-04-07. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectBy other MS Reporting Units	66,539	Reported balance After 2007-12-27 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2007-12-27 · Sale · Disposed 352 · Balance 66,539 F4: Morgan Stanley may be deemed to beneficially own the Merger Shares and 66,539 shares of GKK Common Stock (the "Additional Shares") beneficially owned by the MS Reporting Units. F5: Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by the Reporting Person that it is the beneficial owner of any of the Gemini Shares, the Merger Shares or the Additional Shares for purposes of Section 16 of the Exchange Act, or for any other purpose, and the Reporting Person disclaims beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with Securities and Exchange Commission Release No. 34-39538 (1/12/98).
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectBy other MS Reporting Units	577,895	Reported balance After 2008-04-01 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2008-04-01 · Other · Acquired 511,356 · Balance 577,895 F1: The consummation of the transaction (the "AFR Transaction") contemplated by that certain Merger Agreement, dated as of November 2, 2007, among the Issuer, American Financial Realty Trust ("AFR") and certain of their respective affiliates occurred on April 1, 2008. Pursuant to the AFR Transaction, certain operating units (collectively, the "MS Reporting Units") of Morgan Stanley, its subsidiaries and affiliates (collectively, "MS") became entitled to receive 0.12096 shares of common stock, par value $0.001, of the Issuer (the "GKK Common Stock") in respect of each share of AFR common stock held by the MS Reporting Units (the aggregate of 511,356 shares of GKK Common Stock such MS Reporting Units became entitled to receive, the "Merger Shares"). F4: Morgan Stanley may be deemed to beneficially own the Merger Shares and 66,539 shares of GKK Common Stock (the "Additional Shares") beneficially owned by the MS Reporting Units. F5: Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by the Reporting Person that it is the beneficial owner of any of the Gemini Shares, the Merger Shares or the Additional Shares for purposes of Section 16 of the Exchange Act, or for any other purpose, and the Reporting Person disclaims beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with Securities and Exchange Commission Release No. 34-39538 (1/12/98).
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	IndirectBy SSF III Gemini LP	3,809,524	Reported balance Holding disclosure · report date 2007-12-27 · row 3 Holding and transaction disclosures are not merged. 1 source row Row 3 · Balance 3,809,524 F2: By virtue of the relationships described below, Morgan Stanley may be deemed to have shared voting and dispositive power with respect to 3,809,524 shares (the "Gemini Shares") of GKK Common Stock held by SSF III Gemini, LP ("Gemini"). Accordingly, prior to consummation of the AFR Transaction, Morgan Stanley may have been deemed to have been a 10% Owner. As a result of the issuance of shares GKK Common Stock pursuant to the AFR Transaction, the Gemini Shares, together with the Merger Shares and the Additional Shares described in Note (4) constitute less than 10% of the outstanding GKK Common Stock. F3: SSF III Gemini GP, LLC ("Gemini GP") is the general partner of Gemini. Morgan Stanley Real Estate Special Situations Fund III, L.P. ("SSF III") is the sole member of Gemini GP and the limited partner of Gemini. Morgan Stanley Real Estate Special Situations III-GP, L.L.C. ("SSF III GP") is the general partner of SSF III. MSRESS III Manager, L.L.C ("MSRESS Manager") is the managing member of SSFIII GP. MSRESS III, Inc. ("MSRESS III") is the managing member of MSRESS Manager, and is a wholly owned subsidiary of Morgan Stanley. F5: Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by the Reporting Person that it is the beneficial owner of any of the Gemini Shares, the Merger Shares or the Additional Shares for purposes of Section 16 of the Exchange Act, or for any other purpose, and the Reporting Person disclaims beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with Securities and Exchange Commission Release No. 34-39538 (1/12/98).

Filing footnotes · ownership attribution and instrument terms

F1: The consummation of the transaction (the "AFR Transaction") contemplated by that certain Merger Agreement, dated as of November 2, 2007, among the Issuer, American Financial Realty Trust ("AFR") and certain of their respective affiliates occurred on April 1, 2008. Pursuant to the AFR Transaction, certain operating units (collectively, the "MS Reporting Units") of Morgan Stanley, its subsidiaries and affiliates (collectively, "MS") became entitled to receive 0.12096 shares of common stock, par value $0.001, of the Issuer (the "GKK Common Stock") in respect of each share of AFR common stock held by the MS Reporting Units (the aggregate of 511,356 shares of GKK Common Stock such MS Reporting Units became entitled to receive, the "Merger Shares").

F2: By virtue of the relationships described below, Morgan Stanley may be deemed to have shared voting and dispositive power with respect to 3,809,524 shares (the "Gemini Shares") of GKK Common Stock held by SSF III Gemini, LP ("Gemini"). Accordingly, prior to consummation of the AFR Transaction, Morgan Stanley may have been deemed to have been a 10% Owner. As a result of the issuance of shares GKK Common Stock pursuant to the AFR Transaction, the Gemini Shares, together with the Merger Shares and the Additional Shares described in Note (4) constitute less than 10% of the outstanding GKK Common Stock.

F3: SSF III Gemini GP, LLC ("Gemini GP") is the general partner of Gemini. Morgan Stanley Real Estate Special Situations Fund III, L.P. ("SSF III") is the sole member of Gemini GP and the limited partner of Gemini. Morgan Stanley Real Estate Special Situations III-GP, L.L.C. ("SSF III GP") is the general partner of SSF III. MSRESS III Manager, L.L.C ("MSRESS Manager") is the managing member of SSFIII GP. MSRESS III, Inc. ("MSRESS III") is the managing member of MSRESS Manager, and is a wholly owned subsidiary of Morgan Stanley.

F4: Morgan Stanley may be deemed to beneficially own the Merger Shares and 66,539 shares of GKK Common Stock (the "Additional Shares") beneficially owned by the MS Reporting Units.

F5: Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by the Reporting Person that it is the beneficial owner of any of the Gemini Shares, the Merger Shares or the Additional Shares for purposes of Section 16 of the Exchange Act, or for any other purpose, and the Reporting Person disclaims beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with Securities and Exchange Commission Release No. 34-39538 (1/12/98).

Innocoll Holdings plc

Report date July 24, 2017 · Filed July 29, 2017

Section 16 reporting ended · disclosed 2017-07-29. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary SharesSEC Table I · non-derivative	IndirectBy Subsidiaries	0	Reported balance After 2017-07-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2017-07-24 · Sale · Disposed 3,365,978 · Balance 0 F1: Pursuant to the terms of the Transaction Agreement by and among the Issuer, Gurnet Point L.P., a Delaware limited partnership acting through its general partner Waypoint International GP LLC ("Gurnet Point"), and Lough Ree Technologies Limited, an Irish private limited company and wholly-owned subsidiary of Gurnet Point (the "Transaction Agreement"), each Ordinary Share that was beneficially owned by the Reporting Person immediately prior to the effective time of the scheme (the "Effective Time") now represents the right to receive (i) $1.75 in cash and (ii) a contingent value right which represents a contractual right to receive payments up to a maximum aggregate amount of $4.90 in cash upon, and subject to, the occurrence of certain events, without interest and net of applicable tax withholdings (the "Consideration").
Warrants to purchase Ordinary SharesSEC Table II · derivative / convertible security · Conversion / exercise price $7.39 · Expires 2019-06-15	IndirectBy Subsidiaries	0	Reported balance After 2017-07-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2017-07-24 · Other · Disposed 795,980 · Balance 0 F2: Reflects a cancellation without the receipt of consideration.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of the Transaction Agreement by and among the Issuer, Gurnet Point L.P., a Delaware limited partnership acting through its general partner Waypoint International GP LLC ("Gurnet Point"), and Lough Ree Technologies Limited, an Irish private limited company and wholly-owned subsidiary of Gurnet Point (the "Transaction Agreement"), each Ordinary Share that was beneficially owned by the Reporting Person immediately prior to the effective time of the scheme (the "Effective Time") now represents the right to receive (i) $1.75 in cash and (ii) a contingent value right which represents a contractual right to receive payments up to a maximum aggregate amount of $4.90 in cash upon, and subject to, the occurrence of certain events, without interest and net of applicable tax withholdings (the "Consideration").

F2: Reflects a cancellation without the receipt of consideration.

International Securities Exchange, Inc.

Report date March 08, 2005 · Filed March 10, 2005

Section 16 reporting ended · disclosed 2005-03-10. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectThrough a subsidiary	2,214,717	Reported balance After 2005-03-08 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2005-03-08 · Sale · Disposed 1,673,913 · Balance 2,214,717 F1: See Exhibit 99.1 - Joint Filer Information. F2: Represents net price of $16.74 per share plus $1.26 per share for underwriting discount and commission. F3: The securities reported herein are owned directly by Strategic Investments I, Inc., a wholly owned subsidiary of Morgan Stanley.

Filing footnotes · ownership attribution and instrument terms

F1: See Exhibit 99.1 - Joint Filer Information.

F2: Represents net price of $16.74 per share plus $1.26 per share for underwriting discount and commission.

F3: The securities reported herein are owned directly by Strategic Investments I, Inc., a wholly owned subsidiary of Morgan Stanley.

Invesco Van Kampen Massachusetts Value Municipal Income Trust

Report date May 24, 2012 · Filed May 25, 2012

Section 16 reporting ended · disclosed 2012-05-25. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-05-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-05-24 · Other · Disposed 70 · Balance 0 F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends).

F2: Plus any accumulated but unpaid dividends.

Jazz Technologies, Inc.

Report date September 19, 2008 · Filed September 22, 2008

Section 16 reporting ended · disclosed 2008-09-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2008-09-19 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2008-09-19 · Other · Disposed 573,700 · Balance 0 F1: The consummation of the merger (the "Tower Merger") contemplated by that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of May 19, 2008, among the Issuer, Tower Semiconductor Ltd. ("Tower"), and certain of their respective affiliates occurred on September 19, 2008. Pursuant to the Merger Agreement, each share of common stock of the Issuer, par value $0.0001, held by the Reporting Person was automatically converted into the right to receive 1.8 ordinary shares of Tower, par value NIS 1.00.
Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.00 · Expires 2011-03-15	IndirectBy Subsidiary	0	Reported balance After 2008-09-19 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2008-09-19 · Other · Disposed 1,800,000 · Balance 0 F2: Assumed by Tower pursuant to the Merger Agreement and replaced with warrants to purchase 3,240,000 ordinary shares of Tower for $2.78 per share.

Filing footnotes · ownership attribution and instrument terms

F1: The consummation of the merger (the "Tower Merger") contemplated by that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of May 19, 2008, among the Issuer, Tower Semiconductor Ltd. ("Tower"), and certain of their respective affiliates occurred on September 19, 2008. Pursuant to the Merger Agreement, each share of common stock of the Issuer, par value $0.0001, held by the Reporting Person was automatically converted into the right to receive 1.8 ordinary shares of Tower, par value NIS 1.00.

F2: Assumed by Tower pursuant to the Merger Agreement and replaced with warrants to purchase 3,240,000 ordinary shares of Tower for $2.78 per share.

MFS HIGH INCOME MUNICIPAL TRUST

Report date September 12, 2012 · Filed September 17, 2012 · Amendment

Section 16 reporting ended · disclosed 2012-09-17. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Municipal Auction Rate Cumulative PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-09-12 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2012-09-12 · Other · Disposed 432 · Balance 0 F1: The reporting person previously reported a price of $25,000; in fact, the reported securities were called for redemption by the issuer at a price equal to 95% of their liquidation preference ($23,750 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.

Filing footnotes · ownership attribution and instrument terms

F1: The reporting person previously reported a price of $25,000; in fact, the reported securities were called for redemption by the issuer at a price equal to 95% of their liquidation preference ($23,750 per share, plus any accumulated but unpaid dividends).

F2: Plus any accumulated but unpaid dividends.

MFS INVESTMENT GRADE MUNICIPAL TRUST

Report date September 07, 2012 · Filed September 17, 2012 · Amendment

Section 16 reporting ended · disclosed 2012-09-17. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Municipal Auction Rate Cumulative PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-09-07 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2012-09-07 · Other · Disposed 308 · Balance 0 F1: The reporting person previously reported a price of $25,000; in fact, the reported securities were called for redemption by the issuer at a price equal to 95% of their liquidation preference ($23,750 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.

Filing footnotes · ownership attribution and instrument terms

F2: Plus any accumulated but unpaid dividends.

MSCI Inc.

Report date May 22, 2009 · Filed May 26, 2009

Section 16 reporting ended · disclosed 2009-05-26. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B Common StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2009-05-22 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2009-05-22 · Sale · Disposed 27,708,653.79 · Balance 0 F1: The Class B Common Stock is convertible at any time at the holder's option on a one-for-one basis into Class A Common Stock and has no expiration date. The Class B Common Stock is automatically converted into Class A Common Stock upon any sale by the reporting person to any party other than Morgan Stanley, or its subsidiaries or affiliates. Class B Common Stock generally has identical rights as Class A Common Stock, except that holders of Class A Common Stock are entitled to one vote per share while holders of Class B Common Stock are entitled to five votes per share on matters to be voted on by shareholders, with certain exceptions. F3: Of the 27,708,653.79 shares disposed of, 0.79 shares of Class A Common Stock held by Morgan Stanley were purchased for cash and cancelled by MSCI Inc. F2: The price per share offered to the public through an underwritten offering was $21.50. Less underwriting discounts and commissions of $0.80625 per share, Morgan Stanley received from the offering the proceeds of $20.69375 per share.

Filing footnotes · ownership attribution and instrument terms

F1: The Class B Common Stock is convertible at any time at the holder's option on a one-for-one basis into Class A Common Stock and has no expiration date. The Class B Common Stock is automatically converted into Class A Common Stock upon any sale by the reporting person to any party other than Morgan Stanley, or its subsidiaries or affiliates. Class B Common Stock generally has identical rights as Class A Common Stock, except that holders of Class A Common Stock are entitled to one vote per share while holders of Class B Common Stock are entitled to five votes per share on matters to be voted on by shareholders, with certain exceptions.

F2: The price per share offered to the public through an underwritten offering was $21.50. Less underwriting discounts and commissions of $0.80625 per share, Morgan Stanley received from the offering the proceeds of $20.69375 per share.

F3: Of the 27,708,653.79 shares disposed of, 0.79 shares of Class A Common Stock held by Morgan Stanley were purchased for cash and cancelled by MSCI Inc.

NUVEEN CONNECTICUT QUALITY MUNICIPAL INCOME FUND

Report date January 05, 2011 · Filed January 24, 2011

Section 16 reporting ended · disclosed 2011-01-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Municipal Auction Rate Cumulative PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2011-01-05 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2011-01-05 · Other · Disposed 86 · Balance 0 F1: The Municipal Auction Rate Cumulative Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.

Filing footnotes · ownership attribution and instrument terms

F1: The Municipal Auction Rate Cumulative Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends).

F2: Plus any accumulated but unpaid dividends.

NUVEEN INSURED CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND

Report date January 03, 2012 · Filed January 05, 2012

Section 16 reporting ended · disclosed 2012-01-05. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2012-01-03 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2012-01-03 · Sale · Disposed 141 · Balance 0 F1: The reported securities were sold by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities were sold by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share).

NovelStem International Corp.

Report date April 07, 2008 · Filed April 09, 2008

Section 16 reporting ended · disclosed 2008-04-09. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	2,904,233	Reported balance After 2008-04-07 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2008-04-07 · Sale · Disposed 300,000 · Balance 2,904,233

Nuveen California Quality Municipal Income Fund

Report date November 30, 2011 · Filed January 05, 2012

Section 16 reporting ended · disclosed 2012-01-05. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Variable Rate Demand PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	369	Reported balance Holding disclosure · report date 2011-11-30 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 369 F1: The reported securities are held by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent.

Filing footnotes · ownership attribution and instrument terms

F1: The reported securities are held by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent.

PACHOLDER HIGH YIELD FUND INC

Report date April 13, 2016 · Filed April 15, 2016

Section 16 reporting ended · disclosed 2016-04-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Rate Cumulative PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2016-04-13 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2016-04-13 · Other · Disposed 486 · Balance 0 F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends).

F2: Plus any accumulated but unpaid dividends.

PIONEER HIGH INCOME FUND, INC.

Report date March 13, 2014 · Filed March 19, 2014

Section 16 reporting ended · disclosed 2014-03-19. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Market PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Last balance in matching sequence After 2014-03-18 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2014-03-13 · Other · Disposed 292 · Balance 1,150 F1: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission (the "SEC") on September 22, 2008. F2: The reported securities were redeemed by the issuer at par. Row 2 · 2014-03-14 · Other · Disposed 627 · Balance 523 F1: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission (the "SEC") on September 22, 2008. F2: The reported securities were redeemed by the issuer at par. Row 3 · 2014-03-18 · Other · Disposed 523 · Balance 0 F1: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission (the "SEC") on September 22, 2008. F2: The reported securities were redeemed by the issuer at par.

Filing footnotes · ownership attribution and instrument terms

F2: The reported securities were redeemed by the issuer at par.

Saba Capital Income & Opportunities Fund

Report date December 21, 2011 · Filed December 23, 2011

Section 16 reporting ended · disclosed 2011-12-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	78	Reported balance After 2011-12-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2011-12-21 · Other · Disposed 29 · Balance 78 F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.
Auction PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	38	Reported balance After 2011-12-22 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2011-12-22 · Other · Disposed 40 · Balance 38 F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.
Auction PreferredSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2011-12-23 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2011-12-23 · Other · Disposed 38 · Balance 0 F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2: Plus any accumulated but unpaid dividends.

Filing footnotes · ownership attribution and instrument terms

F1: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends).

F2: Plus any accumulated but unpaid dividends.

TEXAS INDUSTRIES INC

Report date June 30, 2014 · Filed July 09, 2014 · Amendment

Section 16 reporting ended · disclosed 2014-07-09. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	1,887,819	Reported balance After 2014-06-30 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2014-06-30 · Sale · Disposed 43 · Balance 1,887,819 F1: Due to a clerical error, the Form 4 filed by the Reporting Person on July 3, 2014 (the "Original Filing") erroneously reported this transaction as a purchase. F2: Amount reported reflects the amount of securities beneficially owned by the Reporting Person following all transactions reported in Original Filing, as corrected by this Form 4/A.

Filing footnotes · ownership attribution and instrument terms

F1: Due to a clerical error, the Form 4 filed by the Reporting Person on July 3, 2014 (the "Original Filing") erroneously reported this transaction as a purchase.

F2: Amount reported reflects the amount of securities beneficially owned by the Reporting Person following all transactions reported in Original Filing, as corrected by this Form 4/A.

TransMontaigne Partners LLC

Report date July 01, 2014 · Filed July 03, 2014

Section 16 reporting ended · disclosed 2014-07-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Units representing limited partnership interestsSEC Table I · non-derivative	IndirectSee note	0	Reported balance After 2014-07-01 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2014-07-01 · Sale · Disposed 3,171,161 · Balance 0 F1: Pursuant to a definitive purchase agreement dated as of June 8, 2014 among NGL Energy Partners LP ("NGL"), Morgan Stanley Capital Group Inc. ("MSCGI") and Morgan Stanley Strategic Investments, Inc. ("MSSI"), NGL acquired from Morgan Stanley ("MS") (i) 100% of the common stock of TransMontaigne Inc., (ii) MS' interests in TransMontaigne Partners L.P. (the "Issuer"), consisting of 2,721,161 Common Units of the Issuer indirectly owned by MSCGI through its ownership of TransMontaigne Inc. and 450,000 Common Units of the Issuer directly owned by MSSI and (iii) certain related assets (the "Acquisition"). F2: The aggregate purchase price for the Acquisition was $200 million, including working capital, plus an additional amount for inventory transferred at the closing of the Acquisition.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to a definitive purchase agreement dated as of June 8, 2014 among NGL Energy Partners LP ("NGL"), Morgan Stanley Capital Group Inc. ("MSCGI") and Morgan Stanley Strategic Investments, Inc. ("MSSI"), NGL acquired from Morgan Stanley ("MS") (i) 100% of the common stock of TransMontaigne Inc., (ii) MS' interests in TransMontaigne Partners L.P. (the "Issuer"), consisting of 2,721,161 Common Units of the Issuer indirectly owned by MSCGI through its ownership of TransMontaigne Inc. and 450,000 Common Units of the Issuer directly owned by MSSI and (iii) certain related assets (the "Acquisition").

F2: The aggregate purchase price for the Acquisition was $200 million, including working capital, plus an additional amount for inventory transferred at the closing of the Acquisition.

VITAL IMAGES INC

Report date November 30, 2007 · Filed December 04, 2007

Section 16 reporting ended · disclosed 2007-12-04. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiary	1,504,998	Last balance in matching sequence After 2007-12-03 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2007-11-30 · Sale · Disposed 295,000 · Balance 1,551,498 F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required. Row 2 · 2007-12-03 · Sale · Disposed 46,500 · Balance 1,504,998 F1: The reported securities are held directly by certain funds (each, a "Fund" and collectively, the "Funds") managed by indirect subsidiary entities of the reporting person. FrontPoint Partners LLC ("FPP"), an indirect wholly owned subsidiary of the reporting person is the parent company of each entity that is the investment manager of one or more of the Funds. This form is filed without prejudice to the reporting person's position that none of the Funds nor FPP or any of its subsidiaries, nor the reporting person, individually or in aggregate, are required to file beneficial ownership reports under Section 16(a) of the a Securities Exchange Act of 1934, and should not be construed or interpreted as a concession or admission that such reports are required.

Filing footnotes · ownership attribution and instrument terms

WCI COMMUNITIES INC

Report date November 20, 2006 · Filed May 30, 2007

Section 16 reporting ended · disclosed 2007-05-30. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,700,704	Reported balance After 2006-11-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2006-11-20 · Sale · Disposed 200 · Balance 3,700,704
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,700,004	Reported balance After 2006-11-20 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2006-11-20 · Sale · Disposed 700 · Balance 3,700,004
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,698,404	Reported balance After 2006-11-20 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2006-11-20 · Sale · Disposed 1,600 · Balance 3,698,404
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,699,404	Reported balance After 2006-11-20 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2006-11-20 · Purchase · Acquired 1,000 · Balance 3,699,404
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,699,004	Reported balance After 2006-11-20 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2006-11-20 · Sale · Disposed 400 · Balance 3,699,004
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,698,604	Reported balance After 2006-11-20 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2006-11-20 · Sale · Disposed 400 · Balance 3,698,604
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,698,104	Reported balance After 2006-11-20 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2006-11-20 · Sale · Disposed 500 · Balance 3,698,104
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,697,904	Reported balance After 2006-11-20 transaction · row 8 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 8 · 2006-11-20 · Sale · Disposed 200 · Balance 3,697,904
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,697,204	Reported balance After 2006-11-20 transaction · row 9 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 9 · 2006-11-20 · Sale · Disposed 700 · Balance 3,697,204
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,696,704	Reported balance After 2006-11-20 transaction · row 10 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 10 · 2006-11-20 · Sale · Disposed 500 · Balance 3,696,704
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,696,504	Reported balance After 2006-11-20 transaction · row 11 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 11 · 2006-11-20 · Sale · Disposed 200 · Balance 3,696,504
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,696,204	Reported balance After 2006-11-20 transaction · row 12 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 12 · 2006-11-20 · Sale · Disposed 300 · Balance 3,696,204
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,696,004	Reported balance After 2006-11-20 transaction · row 13 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 13 · 2006-11-20 · Sale · Disposed 200 · Balance 3,696,004
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,695,504	Reported balance After 2006-11-20 transaction · row 14 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 14 · 2006-11-20 · Sale · Disposed 500 · Balance 3,695,504
Common StockSEC Table I · non-derivative	IndirectBy Subsidiaries	3,545,504	Reported balance After 2006-11-28 transaction · row 15 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 15 · 2006-11-28 · Sale · Disposed 150,000 · Balance 3,545,504 F1: Morgan Stanley will disgorge short swing profits to WCI Communities Inc. in the amount of $61,061.00 in connection with Section 16(b) of the Securities and Exchange Act of 1934, with respect to trades reported on this Form 4 and four other Form 4's being filed by Morgan Stanley on the date hereof. F2: Prices are rounded to the nearest 1/100th.

Filing footnotes · ownership attribution and instrument terms

F1: Morgan Stanley will disgorge short swing profits to WCI Communities Inc. in the amount of $61,061.00 in connection with Section 16(b) of the Securities and Exchange Act of 1934, with respect to trades reported on this Form 4 and four other Form 4's being filed by Morgan Stanley on the date hereof.

F2: Prices are rounded to the nearest 1/100th.

WESTERN ASSET MUNICIPAL PARTNERS FUND INC.

Report date October 05, 2023 · Filed October 10, 2023

Section 16 reporting ended · disclosed 2023-10-10. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Preferred StockSEC Table I · non-derivative	IndirectBy Subsidiary	0	Reported balance After 2023-10-05 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2023-10-05 · Sale · Disposed 135 · Balance 0 F1: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission (the "SEC") on September 22, 2008. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, complete information regarding the number of the Issuer's equity securities purchased or sold at each different price and date of all transactions in such securities that occurred after the Reporting Person became a 10% owner but prior to the date of this filing. F2: The reported securities were disposed of pursuant to a mandatory redemption by the Issuer.

Filing footnotes · ownership attribution and instrument terms

F2: The reported securities were disposed of pursuant to a mandatory redemption by the Issuer.

Yongye International, Inc.

Report date July 03, 2014 · Filed July 08, 2014

Section 16 reporting ended · disclosed 2014-07-08. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnotes	0	Reported balance After 2014-07-03 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2014-07-03 · Other · Disposed 2,128,043 · Balance 0 F1: On July 3, 2014, New York time, Yongye International, Inc. (the "Issuer") completed the merger pursuant to that certain Agreement and Plan of Merger dated as of September 23, 2013, and amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated as of April 9, 2014 (the "Merger Agreement"), by and among the Issuer, Full Alliance International Limited, a British Virgin Islands company ("Holdco"), Yongye International Limited, an exempted company with limited liability incorporated under the laws of the Cayman Islands ("Parent"), Yongye International Merger Sub Limited, a Nevada corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Parent. F2: In connection with the Merger, MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") contributed 2,128,043 shares of the Issuer's Common Stock and 6,505,113 shares of the Issuer's Series A Convertible Preferred Stock to Parent prior to the consummation of the Merger pursuant to that certain contribution agreement by and among MSPEA, Holdco, Parent and certain stockholders of the Issuer party thereto. F3: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA (collectively, the "Reporting Persons"). (cont'd in FN4) F4: (cont'd from FN3) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F5: MSPEA was the record holder of 6,505,113 shares of Series A Convertible Preferred Stock of the Issuer and 2,128,043 shares of Common Stock of the Issuer (collectively, the "Shares"). MS Parent may be deemed to beneficially own Shares beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). (cont'd in FN6) F6: (cont'd from FN5) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such Shares for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011 and was reappointed on June 8, 2012. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization.
Series A Convertible Preferred Stock, par value $0.001SEC Table II · derivative / convertible security · Conversion / exercise price $0.00	IndirectSee footnotes	0	Reported balance After 2014-07-03 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2014-07-03 · Other · Disposed 6,505,113 · Balance 0 F1: On July 3, 2014, New York time, Yongye International, Inc. (the "Issuer") completed the merger pursuant to that certain Agreement and Plan of Merger dated as of September 23, 2013, and amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated as of April 9, 2014 (the "Merger Agreement"), by and among the Issuer, Full Alliance International Limited, a British Virgin Islands company ("Holdco"), Yongye International Limited, an exempted company with limited liability incorporated under the laws of the Cayman Islands ("Parent"), Yongye International Merger Sub Limited, a Nevada corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Parent. F2: In connection with the Merger, MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") contributed 2,128,043 shares of the Issuer's Common Stock and 6,505,113 shares of the Issuer's Series A Convertible Preferred Stock to Parent prior to the consummation of the Merger pursuant to that certain contribution agreement by and among MSPEA, Holdco, Parent and certain stockholders of the Issuer party thereto. F3: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA (collectively, the "Reporting Persons"). (cont'd in FN4) F4: (cont'd from FN3) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F5: MSPEA was the record holder of 6,505,113 shares of Series A Convertible Preferred Stock of the Issuer and 2,128,043 shares of Common Stock of the Issuer (collectively, the "Shares"). MS Parent may be deemed to beneficially own Shares beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). (cont'd in FN6) F6: (cont'd from FN5) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such Shares for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011 and was reappointed on June 8, 2012. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization.

Filing footnotes · ownership attribution and instrument terms

F1: On July 3, 2014, New York time, Yongye International, Inc. (the "Issuer") completed the merger pursuant to that certain Agreement and Plan of Merger dated as of September 23, 2013, and amended by that certain Amendment No. 1 to the Agreement and Plan of Merger, dated as of April 9, 2014 (the "Merger Agreement"), by and among the Issuer, Full Alliance International Limited, a British Virgin Islands company ("Holdco"), Yongye International Limited, an exempted company with limited liability incorporated under the laws of the Cayman Islands ("Parent"), Yongye International Merger Sub Limited, a Nevada corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), with the Issuer surviving the Merger as a wholly owned subsidiary of Parent.

F2: In connection with the Merger, MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") contributed 2,128,043 shares of the Issuer's Common Stock and 6,505,113 shares of the Issuer's Series A Convertible Preferred Stock to Parent prior to the consummation of the Merger pursuant to that certain contribution agreement by and among MSPEA, Holdco, Parent and certain stockholders of the Issuer party thereto.

F3: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA (collectively, the "Reporting Persons"). (cont'd in FN4)

F4: (cont'd from FN3) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA.

F5: MSPEA was the record holder of 6,505,113 shares of Series A Convertible Preferred Stock of the Issuer and 2,128,043 shares of Common Stock of the Issuer (collectively, the "Shares"). MS Parent may be deemed to beneficially own Shares beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). (cont'd in FN6)

F6: (cont'd from FN5) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such Shares for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011 and was reappointed on June 8, 2012. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization.

Transaction history

JSON API

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	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 09, 2012 Filed May 10, 2012 21:52 UTC	BLACKROCK MUNIYIELD QUALITY FUND, INC. MQY · Entity 5123	SaleVariable Rate Demand Preferred	544	$100,000.00	$54,400,000.00	Disclosure SEC source: 0001181431-12-029207 · rrd344850.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F1 · price: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
March 23, 2012 Filed Mar 26, 2012 16:05 UTC	BLACKROCK NEW YORK MUNICIPAL INCOME TRUST II BFY · Entity 11764	SaleVariable Rate Demand Preferred	168	$100,000.00	$16,800,000.00	Disclosure SEC source: 0001181431-12-019449 · rrd339878.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F1 · price: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
March 01, 2012 Filed Mar 5, 2012 18:45 UTC	PIONEER HIGH INCOME FUND, INC. PHT · Entity 12618	PurchaseAuction Market Preferred	5	$25,000.00	$125,000.00	Disclosure SEC source: 0001181431-12-014145 · rrd337136.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 1,442 Read SEC document
February 29, 2012 Filed Mar 1, 2012 23:04 UTC	BLACKROCK MUNIYIELD QUALITY FUND, INC. MQY · Entity 5123	SaleVariable Rate Demand Preferred	290	$100,000.00	$29,000,000.00	Disclosure SEC source: 0001181431-12-013580 · rrd336812.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 544 F1 · price: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
February 29, 2012 Filed Mar 1, 2012 18:06 UTC	BLACKROCK MUNICIPAL INCOME INVESTMENT TRUST BBF · Entity 11768	PurchaseVariable Rate Demand Preferred	72	$100,000.00	$7,200,000.00	Disclosure SEC source: 0001181431-12-013581 · rrd336821.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 123 F1 · price: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
February 29, 2012 Filed Mar 1, 2012 18:08 UTC	BLACKROCK MUNICIPAL BOND INVESTMENT TRUST BIE · Entity 12838	PurchaseVariable Rate Demand Preferred	67	$100,000.00	$6,700,000.00	Disclosure SEC source: 0001181431-12-013583 · rrd336824.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 93 F1 · price: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
February 27, 2012 Filed Feb 29, 2012 21:27 UTC	BLACKROCK MUNIYIELD QUALITY FUND, INC. MQY · Entity 5123	PurchaseVariable Rate Demand Preferred	264	$100,000.00	$26,400,000.00	Disclosure SEC source: 0001181431-12-012931 · rrd336554.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 834 F1 · price: The reported securities were purchased by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
February 17, 2012 Filed Feb 22, 2012 19:18 UTC	BLACKROCK MUNIYIELD QUALITY FUND, INC. MQY · Entity 5123	SaleCommon Stock	480	$15.82	$7,592.11	Disclosure SEC source: 0001181431-12-010756 · rrd335279.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 8,127 Read SEC document
January 19, 2012 Filed Jan 20, 2012 16:05 UTC	Invesco Van Kampen Massachusetts Value Municipal Income Trust VMV · Entity 12866	OtherAuction Preferred	11	$25,000.00	$275,000.00	Disclosure SEC source: 0000950103-12-000247 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 70 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
January 03, 2012 Filed Jan 5, 2012 21:22 UTC	Nuveen California Quality Municipal Income Fund NAC · Entity 1396	SaleVariable Rate Demand Preferred	369	$100,000.00	$36,900,000.00	Disclosure SEC source: 0001209191-12-002083 · c26535_4x0.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 0 F1 · price: The reported securities were sold by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
January 03, 2012 Filed Jan 5, 2012 21:35 UTC	BLACKROCK NEW YORK MUNICIPAL INCOME QUALITY TRUST BSE · Entity 11763	SaleVariable Rate Demand Preferred	133	$100,000.00	$13,300,000.00	Disclosure SEC source: 0001209191-12-002140 · c26495_4x0.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F1 · price: The reported securities were sold by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
January 03, 2012 Filed Jan 5, 2012 16:40 UTC	NUVEEN INSURED CALIFORNIA DIVIDEND ADVANTAGE MUNICIPAL FUND NKL · Entity 12959	SaleVariable Rate Demand Preferred	141	$100,000.00	$14,100,000.00	Disclosure SEC source: 0001209191-12-002159 · c26496_4x0.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F1 · price: The reported securities were sold by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). F1 · ownership.nature: The reported securities were sold by a wholly-owned subsidiary of the reporting person in its capacity as remarketing agent at a price equal to their liquidation preference ($100,000 per share). Read SEC document
December 23, 2011 Filed Dec 23, 2011 15:15 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	38	$25,000.00	$950,000.00	Disclosure SEC source: 0000950103-11-005375 · edgar.xml · nonDerivative · entry 3 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
December 22, 2011 Filed Dec 23, 2011 15:15 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	40	$25,000.00	$1,000,000.00	Disclosure SEC source: 0000950103-11-005375 · edgar.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 38 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
December 21, 2011 Filed Dec 23, 2011 15:15 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	29	$25,000.00	$725,000.00	Disclosure SEC source: 0000950103-11-005375 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 78 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
December 20, 2011 Filed Dec 21, 2011 16:38 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	43	$25,000.00	$1,075,000.00	Disclosure SEC source: 0000950103-11-005351 · edgar.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 107 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
December 19, 2011 Filed Dec 21, 2011 16:38 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	49	$25,000.00	$1,225,000.00	Disclosure SEC source: 0000950103-11-005351 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 150 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
October 14, 2011 Filed Oct 17, 2011 20:32 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	39	$25,000.00	$975,000.00	Disclosure SEC source: 0000950103-11-004338 · edgar.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 199 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
October 13, 2011 Filed Oct 17, 2011 20:32 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	39	$25,000.00	$975,000.00	Disclosure SEC source: 0000950103-11-004338 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 238 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
October 12, 2011 Filed Oct 12, 2011 16:59 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	29	$25,000.00	$725,000.00	Disclosure SEC source: 0000950103-11-004256 · edgar.xml · nonDerivative · entry 3 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 277 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
October 11, 2011 Filed Oct 12, 2011 16:59 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	43	$25,000.00	$1,075,000.00	Disclosure SEC source: 0000950103-11-004256 · edgar.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 306 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
October 11, 2011 Filed Oct 12, 2011 16:59 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	49	$25,000.00	$1,225,000.00	Disclosure SEC source: 0000950103-11-004256 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 349 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
September 28, 2011 Filed Sep 30, 2011 14:02 UTC	China XD Plastics Co Ltd CXDC · Entity 11946	GrantSeries D Jr. Convertible Preferred Stock, par value $0.0001 · Derivative	16,000,000	$6.25 Strike: $0.00	$100,000,000.00	Disclosure SEC source: 0000950142-11-001676 · es1100709_form4-mscxdc.xml · derivative · entry 1 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See explanation of responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See explanation of responses MSPEA MODIFIED PLASTICS HOLDING LTD · CIK 0001524980 · Director · 10% owner · See explanation of responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 16,000,000 Underlying: Common Stock · 16,000,000 shares Expires 2014-09-28 F6 · price: The conversion price is $6.25 per share. The conversion price is subject to adjustments for any reorganization, recapitalization, consolidation or reclassification, stock dividend, stock split, reverse stock split, combination or other like changes in the Company's capital structure. Following the filing with the Securities and Exchange Commission of the audited financial statements of the Issuer for each of the fiscal years ended December 31, 2011, December 31, 2012 and December 31, 2013 respectively, if the consolidated net income of the Issuer (after all charges and provisions for taxes and adjusted to exclude certain mutually agreed excluded items) falls short of a certain specified level, respectively, then MSPEA has the right to elect to purchase from either (i) XD. Engineering Plastics Company Limited ("XD"), a stockholder of the Issuer, and/or Mr. Jie Han, another stockholder of the Issuer, or (ii) the Issuer, certain number of shares of Common Stock at par value. F7 · price: (cont'd from FN6) If the Issuer issues or sells any shares of Common Stock at a price ("New Issue Price") below the conversion price then in effect, MSPEA has the right to purchase from XD or Mr. Jie Han certain number of shares of Common Stock to make MSPEA whole with respect to what it should have received from the Issuer if all outstanding shares of the Series D Preferred Stock held by it are converted at the New Issue Price. XD granted a security interest to MSPEA in 16,000,000 shares of Common Stock of the Issuer that it currently owns. These shares of Common Stock serve as collateral for the obligations of XD and Mr. Jie Han to transfer shares of Common Stock to MSPEA, comply with restrictions on transfer of their shares of Common Stock, as well as perform their other obligations to MSPEA. F8 · price: (cont'd from FN7) The maximum number of shares of Common Stock that MSPEA may receive upon, or in connection with, conversion of the Preferred Shares (including shares of Common Stock delivered by the Issuer and shares of Common Stock transferred by XD and Mr. Jie Han) may not exceed 33% of the shares of Common Stock outstanding as of September 28, 2011 on a fully-diluted basis. F9 · price: (cont'd from FN8) MSPEA has the right to require the Issuer to redeem the Preferred Shares upon specified triggering events at a redemption price that will provide MSPEA with an internal rate of return of 15% on its investment in the Preferred Shares. MSPEA also has the right to require the Issuer to redeem the Preferred Shares if the Issuer fails to meet specified profit targets, at a redemption price that will provide MSPEA with an internal rate of return of 15% on its investment in the Preferred Shares. F5 · derivative.exercise_date: The Preferred Shares may be converted into Common Stock at any time on or after January 1, 2012 at the holder's election. The Preferred Shares that remain not converted will convert into Common Stock automatically on the 3rd anniversary of the issuance, which will be on September 28, 2014. F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Modified Plastics Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 16,000,000 shares (the "Preferred Shares") of Series D Junior Convertible Preferred Stock (the "Series D Preferred Stock"), par value $0.0001 per share. MS Parent may be deemed to beneficially own the Preferred Shares beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such Preferred Shares for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. MSPEA has affirmed the appointment of its nominees to the Issuer's board of directors, Mr. Eddy Huang and Mr. Jun Xu, who became two of the Issuer's directors on September 28, 2011. By virtue of Mr. Eddy Huang and Mr. Jun Xu, being the Issuer's directors, each of the Reporting Persons is a director by deputization. F5 · ownership.nature: The Preferred Shares may be converted into Common Stock at any time on or after January 1, 2012 at the holder's election. The Preferred Shares that remain not converted will convert into Common Stock automatically on the 3rd anniversary of the issuance, which will be on September 28, 2014. Read SEC document
September 08, 2011 Filed Sep 9, 2011 21:05 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	326,894	$5.93	$1,937,075.78	Disclosure SEC source: 0000950142-11-001572 · es1100662_form4-yongyeex.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 2,165,843 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). MS Holdings is a wholly owned subsidiary of MS Parent. F2 · ownership.nature: (cont'd from FN1) MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 2,128,043 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
September 07, 2011 Filed Sep 9, 2011 21:05 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	185,941	$5.60	$1,040,470.05	Disclosure SEC source: 0000950142-11-001572 · es1100662_form4-yongyeex.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,838,949 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). MS Holdings is a wholly owned subsidiary of MS Parent. F2 · ownership.nature: (cont'd from FN1) MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 2,128,043 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
September 02, 2011 Filed Sep 6, 2011 23:06 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	307,069	$5.41	$1,662,747.93	Disclosure SEC source: 0000950142-11-001535 · es1100644_form4-yongyeex.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,653,008 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). MS Holdings is a wholly owned subsidiary of MS Parent. F2 · ownership.nature: (cont'd from FN1) MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 1,615,208 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
September 01, 2011 Filed Sep 6, 2011 23:06 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	42,760	$5.21	$222,728.29	Disclosure SEC source: 0000950142-11-001535 · es1100644_form4-yongyeex.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,345,939 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). MS Holdings is a wholly owned subsidiary of MS Parent. F2 · ownership.nature: (cont'd from FN1) MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 1,615,208 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 31, 2011 Filed Aug 31, 2011 22:04 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	171,096	$4.96	$847,934.67	Disclosure SEC source: 0000950142-11-001509 · es1100634_form4-yongex.xml · nonDerivative · entry 3 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,303,179 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 1,265,379 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 30, 2011 Filed Aug 31, 2011 22:04 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	172,082	$4.76	$819,488.90	Disclosure SEC source: 0000950142-11-001509 · es1100634_form4-yongex.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,132,083 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 1,265,379 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 29, 2011 Filed Aug 31, 2011 22:04 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	132,686	$4.69	$622,031.97	Disclosure SEC source: 0000950142-11-001509 · es1100634_form4-yongex.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 960,001 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 1,265,379 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 26, 2011 Filed Aug 26, 2011 21:24 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	145,556	$4.57	$664,565.03	Disclosure SEC source: 0000950142-11-001502 · es1100628_form4-yongex.xml · nonDerivative · entry 4 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 827,315 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 789,515 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 25, 2011 Filed Aug 26, 2011 21:24 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	135,361	$4.53	$612,711.57	Disclosure SEC source: 0000950142-11-001502 · es1100628_form4-yongex.xml · nonDerivative · entry 3 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 681,759 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 789,515 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 24, 2011 Filed Aug 26, 2011 21:24 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	123,218	$4.55	$560,235.28	Disclosure SEC source: 0000950142-11-001502 · es1100628_form4-yongex.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 546,398 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 789,515 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 24, 2011 Filed Aug 26, 2011 21:24 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	26,065	$4.51	$117,594.85	Disclosure SEC source: 0000950142-11-001502 · es1100628_form4-yongex.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 423,180 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 789,515 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 19, 2011 Filed Aug 22, 2011 22:17 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	249,178	$4.62	$1,151,302.03	Disclosure SEC source: 0000950142-11-001478 · es1100616_form4-yongex.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 397,115 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 397,115 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
August 18, 2011 Filed Aug 22, 2011 22:17 UTC	Yongye International, Inc. YONG · Entity 12587	PurchaseCommon Stock	110,137	$4.34	$477,664.17	Disclosure SEC source: 0000950142-11-001478 · es1100616_form4-yongex.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See Explanation of Responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See Explanation of Responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See Explanation of Responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See Explanation of Responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 147,937 F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). F2 · ownership.nature: (cont'd from FN1) MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. F3 · ownership.nature: (cont'd from FN2) MSPEA is the record holder of 397,115 shares of Common Stock of the Issuer. MS Parent may be deemed to beneficially own the shares of Common Stock beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F4 · ownership.nature: (cont'd from FN3) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. F5 · ownership.nature: (cont'd from FN4) MSPEA's nominee to the Issuer's board of directors, Mr. Homer Sun, became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. Read SEC document
July 15, 2011 Filed Jul 15, 2011 19:36 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	38	$25,000.00	$950,000.00	Disclosure SEC source: 0000950103-11-002836 · edgar.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 398 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
July 14, 2011 Filed Jul 15, 2011 19:36 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	39	$25,000.00	$975,000.00	Disclosure SEC source: 0000950103-11-002836 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 436 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
July 13, 2011 Filed Jul 13, 2011 17:40 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	29	$25,000.00	$725,000.00	Disclosure SEC source: 0000950103-11-002788 · edgar.xml · nonDerivative · entry 3 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 475 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
July 12, 2011 Filed Jul 13, 2011 17:40 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	43	$25,000.00	$1,075,000.00	Disclosure SEC source: 0000950103-11-002788 · edgar.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 504 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
July 11, 2011 Filed Jul 13, 2011 17:40 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	49	$25,000.00	$1,225,000.00	Disclosure SEC source: 0000950103-11-002788 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 547 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
June 09, 2011 Filed Jun 10, 2011 16:34 UTC	Yongye International, Inc. YONG · Entity 12587	GrantSeries A Convertible Preferred Stock, par value $0.001 · Derivative	5,681,818	$8.80 Strike: $0.00	$49,999,998.40	Disclosure SEC source: 0000950142-11-001109 · es1100434_form4-msex.xml · derivative · entry 1 MORGAN STANLEY · CIK 0000895421 · Director · 10% owner · See explanation of responses MS HOLDINGS INC · CIK 0001522719 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA III, INC. · CIK 0001522733 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA III, L.L.C. · CIK 0001522732 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA III LP · CIK 0001402299 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA EMPLOYEE INVESTORS III LP · CIK 0001425447 · Director · 10% owner · See explanation of responses MORGAN STANLEY PRIVATE EQUITY ASIA III HOLDINGS (CAYMAN) LTD · CIK 0001522731 · Director · 10% owner · See explanation of responses MSPEA AGRICULTURE HOLDING LTD · CIK 0001522730 · Director · 10% owner · See explanation of responses Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 5,681,818 Underlying: Common stock · 5,681,818 shares Expires 2016-06-09 F5 · price: The conversion price is $8.80 per share. The conversion price is subject to adjustments for any share subdivision, consolidation or reclassification, share dividend or capital distribution, mergers or reorganizations or issuances of common stock at prices below the conversion price then in effect. Following the filing with the Securities and Exchange Commission of the audited financial statements of the Issuer for the fiscal year ended December 31, 2011, the conversion price is also subject to adjustments if the net income falls short of, or exceeds, certain specified levels (which are themselves subject to adjustment), provided that as a result of such adjustments, the conversion price will not exceed $15 per share (adjusted for customary anti-dilution adjustments). F6 · price: Full Alliance International Limited ("Full Alliance"), a shareholder of the Issuer, agreed to transfer to MSPEA upon conversion of the Preferred Shares, for a total consideration of $1, shares of Common Stock necessary to make MSPEA whole with respect to certain adjustments to the conversion price. Full Alliance granted a security interest to MSPEA in 5,600,000 shares of Common Stock of the Issuer that it currently owns. These shares of Common Stock serve as collateral for the obligations of Full Alliance to transfer shares of Common Stock to MSPEA and to comply with restrictions on transfer of its shares of Common Stock. F7 · price: The maximum number of shares of Common Stock that MSPEA may receive upon, or in connection with, conversion of the Preferred Shares (including shares of Common Stock delivered by the Issuer, with payable in kind dividends, and shares of Common Stock transferred by Full Alliance) may not exceed 19.99% of the shares of Common Stock outstanding as of May 29, 2011 (adjusted for any reorganization, recapitalization, reclassification, stock dividend, stock split, reverse stock split, combination or other like changes in the Issuer's capital structure). F8 · price: MSPEA has the right to require the Issuer to redeem the Preferred Shares upon specified material adverse events at a redemption price that will provide MSPEA with an internal rate of return of 30% on its investment in the Preferred Shares. MSPEA also has the right to require the Issuer to redeem the Preferred Shares if the Issuer fails to meet specified earnings per share and net income targets (which are subject to adjustment), at a redemption price that will provide MSPEA with an internal rate of return of 20% on its investment in the Preferred Shares. F4 · derivative.exercise_date: The Preferred Shares may be converted into Common Stock at any time at the holder's election. The Preferred Shares will convert into Common Stock automatically on the 5th anniversary of the issuance, which will be on June 9, 2016. F1 · ownership.nature: This form is filed by (i) Morgan Stanley, a Delaware corporation ("MS Parent"), (ii) MS Holdings Incorporated, a Delaware corporation ("MS Holdings"), (iii) Morgan Stanley Private Equity Asia III, Inc., a Delaware corporation ("MS Inc"), (iv) Morgan Stanley Private Equity Asia III, L.L.C., a Delaware limited liability company ("MS LLC"), (v) Morgan Stanley Private Equity Asia III, L.P., a Cayman Islands limited partnership ("MS LP"), (vi) Morgan Stanley Private Equity Asia Employee Investors III, L.P., a Cayman Islands limited partnership ("MS Employee"), (vii) Morgan Stanley Private Equity Asia III Holdings (Cayman) Ltd, a Cayman Islands limited liability company ("MSPEA Holdings") and (viii) MSPEA Agriculture Holding Limited, a Cayman Islands limited liability company ("MSPEA") (collectively, the "Reporting Persons"). MS Holdings is a wholly owned subsidiary of MS Parent. MS Inc is a wholly owned subsidiary of MS Holdings and is the managing member of MS LLC. F2 · ownership.nature: (cont'd from FN1) MS LLC is the general partner of both MS LP and MS Employee. MS LP holds 92.13% of MSPEA Holdings and MS Employee holds 7.87% of MSPEA Holdings. MSPEA Holdings owns 100% of MSPEA. MSPEA is the record holder of 5,681,818 shares of Series A Convertible Preferred Stock, par value $0.001 per share (the "Preferred Shares"). MS Parent may be deemed to beneficially own the Preferred Shares beneficially owned by operating units (collectively, the "MS Reporting Units") of MS Parent, its subsidiaries and affiliates (collectively, "MS"). This filing does not reflect securities, if any, beneficially owned by any operating units of MS whose ownership of securities is disaggregated from that of the MS Reporting Units in accordance with the Securities and Exchange Commission Release No. 34-39538 (January 12, 1998). F3 · ownership.nature: (cont'd from FN2) Neither the filing of this Form 4 nor any of its contents shall be deemed to constitute an admission by any Reporting Person that it is the beneficial owner of any such Preferred Shares for purposes of Section 16 of the Securities Exchange Act of 1934, or for any other purpose, and each of the Reporting Persons expressly disclaims the beneficial ownership thereof except to the extent of its pecuniary interest therein, if any. MSPEA has affirmed the appointment of its nominee to the Issuer's board of directors, Mr. Homer Sun, who became one of the Issuer's directors on June 9, 2011. By virtue of Mr. Homer Sun being one of the Issuer's directors, each of the Reporting Persons is a director by deputization. F4 · ownership.nature: The Preferred Shares may be converted into Common Stock at any time at the holder's election. The Preferred Shares will convert into Common Stock automatically on the 5th anniversary of the issuance, which will be on June 9, 2016. Read SEC document
May 02, 2011 Filed May 6, 2011 15:51 UTC	Eaton Vance Ltd Duration Income Fund EVV · Entity 8889	GrantAuction Preferred Stock	1	$25,000.00	$25,000.00	Disclosure SEC source: 0000950103-11-001727 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 1,125 F1 · security: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission (the "SEC") on September 22, 2008. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, complete information regarding the number of the Issuer's equity securities purchased or sold at each different price and date of all transactions in such securities that occurred after the Reporting Person became a 10% owner but prior to the date of this filing. Read SEC document
May 02, 2011 Filed May 9, 2011 19:42 UTC Amendment	Eaton Vance Ltd Duration Income Fund EVV · Entity 8889	PurchaseAuction Preferred Stock	1	$25,000.00	$25,000.00	Disclosure SEC source: 0000950103-11-001742 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 1,125 F1 · security: The preferred shares reported herein represent the Reporting Person's combined holdings in multiple series of auction preferred securities of the Issuer, which are treated herein as one class of securities in accordance with the Auction Rate Securities - Global Exemptive Relief no-action letter issued by the Securities and Exchange Commission (the "SEC") on September 22, 2008. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, complete information regarding the number of the Issuer's equity securities purchased or sold at each different price and date of all transactions in such securities that occurred after the Reporting Person became a 10% owner but prior to the date of this filing. F2 · kind: The original Form 4 filed on May 6, 2011 mistakenly disclosed the reported transaction using Transaction Code "A" instead of Transaction Code "P". Read SEC document
April 15, 2011 Filed Apr 15, 2011 18:48 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	38	$25,000.00	$950,000.00	Disclosure SEC source: 0000950103-11-001427 · edgar.xml · nonDerivative · entry 3 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 596 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
April 14, 2011 Filed Apr 15, 2011 18:48 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	39	$25,000.00	$975,000.00	Disclosure SEC source: 0000950103-11-001427 · edgar.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 634 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
April 13, 2011 Filed Apr 15, 2011 18:48 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	29	$25,000.00	$725,000.00	Disclosure SEC source: 0000950103-11-001427 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 673 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends. Read SEC document
April 12, 2011 Filed Apr 13, 2011 20:34 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	42	$25,000.00	$1,050,000.00	Disclosure SEC source: 0000950103-11-001393 · edgar.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 702 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends Read SEC document
April 11, 2011 Filed Apr 13, 2011 20:34 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	OtherAuction Preferred	49	$25,000.00	$1,225,000.00	Disclosure SEC source: 0000950103-11-001393 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 744 F1 · kind: The Auction Preferred securities were called for redemption by the issuer at a price equal to their liquidation preference ($25,000 per share, plus any accumulated but unpaid dividends). F2 · price: Plus any accumulated but unpaid dividends Read SEC document
January 18, 2011 Filed Jan 20, 2011 22:24 UTC	Saba Capital Income & Opportunities Fund PPR · Entity 5832	SaleCommon Stock	200	$5.85	$1,169.98	Disclosure SEC source: 0000950103-11-000198 · edgar.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Subsidiary Disclosed balance after: 0 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.