organization · Reporting owner
MITSUBISHI UFJ FINANCIAL GROUP INC
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| MORGAN STANLEYMS · Entity 2815 | 10% owner | September 22, 2026 | September 24, 2026 |
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.
MORGAN STANLEY
Report date September 22, 2026 · Filed September 24, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 375,330,252 |
Reported balance
After 2026-09-22 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-09-22 · Disposition to issuer · Disposed 1,340,519 · Balance 375,330,252 F1: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan adopted on April 18, 2018 and designed to comply with Rule 10b5-1(c). |
Filing footnotes · ownership attribution and instrument terms
F1: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization.
F2: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan adopted on April 18, 2018 and designed to comply with Rule 10b5-1(c).
Transaction history
JSON APIPurchases/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 |
|---|---|---|---|---|---|---|
| April 24, 2019 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 0.002 | $47.37 | $0.09 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 30 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 404,866,654.725 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| March 22, 2019 Filed Mar 26, 2019 10:05 UTC | MORGAN STANLEY MS · Entity 2815 | Disposition to issuerCommon Shares | 6,235,970 | $42.13 | $262,710,191.35 |
DisclosureSEC source: 0000899243-19-008922 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 404,867,225 F1 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| March 15, 2019 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | PurchaseCommon Stock | 0.198 | $43.34 | $8.58 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 29 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 411,102,624.727 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| March 07, 2019 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 0.008 | $41.17 | $0.33 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 28 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 411,102,624.529 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| February 27, 2019 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 0.009 | $42.46 | $0.38 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 27 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 411,102,624.537 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| January 29, 2019 Filed Jan 31, 2019 14:45 UTC | MORGAN STANLEY MS · Entity 2815 | Disposition to issuerCommon Shares | 1,167,007 | $42.54 | $49,642,727.27 |
DisclosureSEC source: 0000899243-19-002235 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 411,103,195 F1 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 23:01 UTC | MORGAN STANLEY MS · Entity 2815 | OtherPut Option (right to sell) · Derivative | 7,000 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0000899243-19-001746 · doc4.xml · derivative · entry 3 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 7,000 Underlying: Common Shares · 700,000 shares Expires 2019-01-18 F3 · shares: Each option contract represents 100 Common Shares. F3 · balance_after: Each option contract represents 100 Common Shares. F1 · ownership.nature: The reported transactions were effected by a wholly owned subsidiary of the Reporting Person. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 23:01 UTC | MORGAN STANLEY MS · Entity 2815 | OtherCall Option (obligation to sell) · Derivative | 7,000 | $0.00 Strike: $46.00 | $0.00 |
DisclosureSEC source: 0000899243-19-001746 · doc4.xml · derivative · entry 2 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 7,000 Underlying: Common Shares · 700,000 shares Expires 2019-01-18 F2 · security: The premium received from writing the call options, which occurred on November 5, 2018, has been disgorged to the Issuer. F3 · shares: Each option contract represents 100 Common Shares. F3 · balance_after: Each option contract represents 100 Common Shares. F1 · ownership.nature: The reported transactions were effected by a wholly owned subsidiary of the Reporting Person. Read SEC document |
| January 18, 2019 Filed Jan 23, 2019 23:01 UTC | MORGAN STANLEY MS · Entity 2815 | OtherCommon Shares | 700,000 | $46.00 | $32,200,000.00 |
DisclosureSEC source: 0000899243-19-001746 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 412,270,202 F1 · ownership.nature: The reported transactions were effected by a wholly owned subsidiary of the Reporting Person. Read SEC document |
| January 16, 2019 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | PurchaseCommon Stock | 0.012 | $44.49 | $0.53 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 26 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 412,969,631.546 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| January 09, 2019 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 0.045 | $41.68 | $1.88 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 25 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 412,969,631.534 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| December 20, 2018 Filed Dec 26, 2018 15:28 UTC | MORGAN STANLEY MS · Entity 2815 | Disposition to issuerCommon Shares | 5,408,450 | $43.28 | $234,065,276.57 |
DisclosureSEC source: 0000899243-18-031651 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,970,202 F1 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| December 17, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $39.60 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 51 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires not disclosed F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · kind: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · derivative.expiration_date: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 30, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | PurchaseCommon Stock | 0.023 | $44.39 | $1.02 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 24 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 418,378,081.579 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| November 27, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $44.05 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 50 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 27, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $44.05 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 49 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 19, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $44.41 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 48 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 19, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $44.41 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 47 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 09, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 38,000 | Not disclosed Strike: $45.73 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 46 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 38,000 Underlying: Common Shares · 38,000 shares Expires 2018-12-17 F13 · derivative.exercise_price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · price: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F13 · derivative.exercise_date: On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 05, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $45.82 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 45 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires not disclosed F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · kind: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · derivative.expiration_date: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| November 05, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | PurchasePut Option(right to sell) · Derivative | 7,000 | $217.00 Strike: $46.00 | $1,519,000.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 44 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 7,000 Underlying: Common Shares · 700,000 shares Expires 2019-01-18 F12 · security: The exercise of this put option was previously reported by the Reporting Person. F11 · shares: Each option contract represents 100 Common Shares. F11 · balance_after: Each option contract represents 100 Common Shares. Read SEC document |
| November 05, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCall Option (obligation to sell) · Derivative | 7,000 | $242.00 Strike: $46.00 | $1,694,000.00 |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 43 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 7,000 Underlying: Common Shares · 700,000 shares Expires 2019-01-18 F10 · security: The expiration of this call option was previously reported by the Reporting Person. F11 · shares: Each option contract represents 100 Common Shares. F11 · balance_after: Each option contract represents 100 Common Shares. Read SEC document |
| October 30, 2018 Filed Oct 31, 2018 10:10 UTC | MORGAN STANLEY MS · Entity 2815 | Disposition to issuerCommon Shares | 1,727,280 | $45.32 | $78,287,584.18 |
DisclosureSEC source: 0000899243-18-027766 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 417,640,652 F1 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| October 08, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 0.008 | $47.02 | $0.38 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 23 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 419,497,361.557 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| October 04, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $47.27 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 42 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-12-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| October 04, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $47.27 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 41 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-12-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| September 21, 2018 Filed Sep 25, 2018 10:39 UTC | MORGAN STANLEY MS · Entity 2815 | Disposition to issuerCommon Shares | 5,053,616 | $48.96 | $247,446,264.55 |
DisclosureSEC source: 0000899243-18-025162 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 419,367,932 F1 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| September 13, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 667.027 | $47.66 | $31,790.51 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 22 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 424,550,977.565 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| September 04, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $48.71 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 40 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-12-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| September 04, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $48.71 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 39 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires not disclosed F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · kind: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · derivative.expiration_date: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| August 06, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $49.99 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 38 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-09-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| August 06, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $49.99 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 37 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-09-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| July 27, 2018 Filed Jul 30, 2018 10:06 UTC | MORGAN STANLEY MS · Entity 2815 | Disposition to issuerCommon Shares | 1,285,200 | $50.77 | $65,253,716.64 |
DisclosureSEC source: 0000899243-18-020762 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 424,421,548 F1 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| July 05, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $46.70 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 36 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-09-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| July 05, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $46.70 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 35 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-09-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| June 22, 2018 Filed Jun 25, 2018 10:05 UTC | MORGAN STANLEY MS · Entity 2815 | Disposition to issuerCommon Shares | 5,439,204 | $52.28 | $284,341,460.07 |
DisclosureSEC source: 0000899243-18-017797 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 425,706,748 F1 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| June 04, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $51.55 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 34 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-09-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| June 04, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $51.55 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 33 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-06-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F9 · kind: Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| May 31, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 0.134 | $50.14 | $6.72 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 21 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 431,276,048.593 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| May 30, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 1,971.347 | $50.72 | $99,986.72 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 20 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 431,276,048.726 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| May 21, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 278.964 | $54.34 | $15,158.90 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 19 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 431,278,020.073 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| May 15, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 0.012 | $54.84 | $0.66 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 18 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 431,278,299.037 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| May 03, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $51.08 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 32 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-06-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| May 03, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $51.08 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 31 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-06-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F8 · kind: Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| April 26, 2018 Filed Apr 27, 2018 10:05 UTC | MORGAN STANLEY MS · Entity 2815 | Disposition to issuerCommon Shares | 871,200 | $53.42 | $46,540,897.92 |
DisclosureSEC source: 0000899243-18-010858 · doc4.xml · nonDerivative · entry 1 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 431,145,952 F1 · kind: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization. F2 · kind: The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan designed to comply with Rule 10b5-1(c). Read SEC document |
| April 03, 2018 Filed Sep 20, 2019 20:06 UTC | MORGAN STANLEY MS · Entity 2815 | OtherTotal Rate of Return Basket Swap (put equivalent position) · Derivative | 130,000 | Not disclosed Strike: $53.17 | Not disclosed |
DisclosureSEC source: 0001209191-19-050312 · doc4.xml · derivative · entry 30 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 130,000 Underlying: Common Shares · 130,000 shares Expires 2018-06-04 F7 · derivative.exercise_price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · price: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. F7 · derivative.exercise_date: On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Read SEC document |
| April 03, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | PurchaseCommon Stock | 743.284 | $53.06 | $39,438.65 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 17 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,019,499.049 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| March 12, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | PurchaseCommon Stock | 0.018 | $58.91 | $1.06 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 16 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,018,755.765 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| January 16, 2018 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 176.692 | $54.52 | $9,633.25 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 15 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,018,755.748 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
| December 01, 2017 Filed Oct 22, 2020 00:41 UTC | MORGAN STANLEY MS · Entity 2815 | SaleCommon Stock | 167.04 | $51.86 | $8,662.69 |
DisclosureSEC source: 0000899243-20-028927 · doc4.xml · nonDerivative · entry 14 MITSUBISHI UFJ FINANCIAL GROUP INC · CIK 0000067088 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Through Subsidiary Disclosed balance after: 432,018,932.44 F1 · security: By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. F2 · security: The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. F3 · security: The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. F4 · balance_after: The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. F5 · ownership.nature: This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.