Insider Transactions for MORGAN STANLEY (MS)

Owner Relationship Date Transaction Cost # Shares Value($) Total Shares Form 4
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Apr 26, 2019 Option Exercise $47.43 896,400 42,513,472 403,970,825 Apr 30, 2019, 06:05 AM
SIMKOWITZ DANIEL A Head of Investment Management Apr 18, 2019 Buy $47.57 7,000 332,979 193,089 Apr 22, 2019, 04:07 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Mar 22, 2019 Option Exercise $42.13 6,235,970 262,710,195 404,867,225 Mar 26, 2019, 06:05 AM
WIRTH PAUL C Deputy Chief Financial Officer Feb 26, 2019 Sale $42.40 25,000 1,060,073 169,031 Feb 28, 2019, 04:13 PM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 26, 2019 Option Exercise $42.19 19,561 825,279 133,179 Feb 28, 2019, 04:11 PM
Hotsuki Keishi Chief Risk Officer Feb 26, 2019 Option Exercise $42.19 25,738 1,085,886 254,842 Feb 28, 2019, 04:11 PM
GROSSMAN ERIC F Chief Legal Officer Feb 26, 2019 Option Exercise $42.19 31,450 1,326,875 260,242 Feb 28, 2019, 04:09 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 26, 2019 Option Exercise $42.19 43,857 1,850,327 186,089 Feb 28, 2019, 04:08 PM
PRUZAN JONATHAN Chief Financial Officer Feb 26, 2019 Option Exercise $42.19 36,840 1,554,280 166,224 Feb 28, 2019, 04:07 PM
KELLEHER THOMAS COLM President Feb 26, 2019 Option Exercise $42.19 73,038 3,081,473 978,989 Feb 28, 2019, 04:06 PM
GORMAN JAMES P Chairman and CEO Feb 26, 2019 Option Exercise $42.19 131,068 5,529,759 1,453,155 Feb 28, 2019, 04:04 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jan 29, 2019 Option Exercise $42.54 1,167,007 49,642,729 411,103,195 Jan 31, 2019, 09:45 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jan 18, 2019 Option Exercise $46.00 700,000 32,200,000 412,270,202 Jan 23, 2019, 06:01 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2019 Sale $43.38 15,565 675,152 112,420 Jan 23, 2019, 04:53 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 18, 2019 Option Exercise $42.53 34,242 1,456,312 193,173 Jan 18, 2019, 04:31 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2019 Option Exercise $42.53 11,281 479,781 127,985 Jan 18, 2019, 04:30 PM
Hotsuki Keishi Chief Risk Officer Jan 18, 2019 Option Exercise $42.53 17,508 744,615 227,498 Jan 18, 2019, 04:29 PM
GROSSMAN ERIC F Chief Legal Officer Jan 18, 2019 Option Exercise $42.53 21,595 918,435 227,103 Jan 18, 2019, 04:28 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 18, 2019 Option Exercise $42.53 33,369 1,419,184 146,764 Jan 18, 2019, 04:27 PM
PRUZAN JONATHAN Chief Financial Officer Jan 18, 2019 Option Exercise $42.53 26,460 1,125,344 133,404 Jan 18, 2019, 04:26 PM
KELLEHER THOMAS COLM President Jan 18, 2019 Option Exercise $42.53 12,293 522,821 912,004 Jan 18, 2019, 04:25 PM
GORMAN JAMES P Chairman and CEO Jan 18, 2019 Option Exercise $42.53 96,230 4,092,662 1,343,309 Jan 18, 2019, 04:23 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Dec 20, 2018 Option Exercise $43.28 5,408,450 234,065,269 412,970,202 Dec 26, 2018, 10:28 AM
TRAQUINA PERRY M Director Dec 01, 2018 Option Exercise $44.27 1,299 57,511 36,880 Dec 04, 2018, 04:18 PM
SCHAPIRO MARY L Director Dec 01, 2018 Option Exercise $44.27 640 28,335 4,796 Dec 04, 2018, 04:17 PM
OLAYAN HUTHAM S Director Dec 01, 2018 Option Exercise $44.27 1,073 47,505 166,291 Dec 04, 2018, 04:16 PM
GLOCER THOMAS H Director Dec 01, 2018 Option Exercise $44.27 1,638 72,519 65,497 Dec 04, 2018, 04:15 PM
CORLEY ELIZABETH Director Dec 01, 2018 Option Exercise $44.27 960 42,502 7,680 Dec 04, 2018, 04:14 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 30, 2018 Option Exercise $45.32 1,727,280 78,287,584 417,640,652 Oct 31, 2018, 06:10 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 21, 2018 Option Exercise $48.96 5,053,616 247,446,260 419,367,932 Sep 25, 2018, 06:39 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jul 27, 2018 Option Exercise $50.77 1,285,200 65,253,718 424,421,548 Jul 30, 2018, 06:06 AM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jun 22, 2018 Option Exercise $52.28 5,439,204 284,341,452 425,706,748 Jun 25, 2018, 06:05 AM
TRAQUINA PERRY M Director May 24, 2018 Option Exercise $53.74 1,070 57,501 35,116 May 29, 2018, 04:22 PM
OWENS JAMES W Director May 24, 2018 Option Exercise $53.74 884 47,506 82,783 May 29, 2018, 04:21 PM
OLAYAN HUTHAM S Director May 24, 2018 Option Exercise $53.74 884 47,506 163,166 May 29, 2018, 04:19 PM
GLOCER THOMAS H Director May 24, 2018 Option Exercise $53.74 1,349 72,495 63,085 May 29, 2018, 04:15 PM
CORLEY ELIZABETH Director May 24, 2018 Option Exercise $53.74 512 27,515 6,632 May 29, 2018, 04:10 PM
DARLING ALISTAIR Director May 22, 2018 Option Exercise $55.04 485 26,695 13,847 May 24, 2018, 04:39 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Apr 26, 2018 Option Exercise $53.42 871,200 46,540,898 431,145,952 Apr 27, 2018, 06:05 AM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 27, 2018 Option Exercise $57.01 17,461 995,452 120,702 Mar 01, 2018, 04:23 PM
Hotsuki Keishi Chief Risk Officer Feb 27, 2018 Option Exercise $57.01 21,825 1,244,243 230,051 Mar 01, 2018, 04:21 PM
GROSSMAN ERIC F Chief Legal Officer Feb 27, 2018 Option Exercise $57.01 26,191 1,493,149 216,492 Mar 01, 2018, 04:18 PM
KELLEHER THOMAS COLM President Feb 27, 2018 Option Exercise $57.01 72,340 4,124,103 771,782 Mar 01, 2018, 04:16 PM
GORMAN JAMES P Chairman and CEO Feb 27, 2018 Option Exercise $57.01 102,792 5,860,172 1,280,691 Mar 01, 2018, 04:14 PM
WIRTH PAUL C Deputy Chief Financial Officer Feb 26, 2018 Sale $56.91 20,000 1,138,110 186,003 Feb 28, 2018, 04:48 PM
PRUZAN JONATHAN Chief Financial Officer Feb 16, 2018 Sale $55.35 52,204 2,889,361 124,613 Feb 16, 2018, 04:19 PM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 14, 2018 Sale $54.97 11,054 607,600 102,221 Feb 16, 2018, 04:18 PM
GROSSMAN ERIC F Chief Legal Officer Feb 14, 2018 Sale $54.72 17,421 953,296 188,674 Feb 16, 2018, 04:17 PM
GORMAN JAMES P Chairman and CEO Feb 15, 2018 Sale $55.34 100,000 5,533,810 1,235,468 Feb 16, 2018, 04:16 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 14, 2018 Sale $53.79 32,181 1,730,935 143,876 Feb 15, 2018, 04:09 PM
SIMKOWITZ DANIEL A Head of Investment Management Feb 13, 2018 Sale $53.41 54,869 2,930,679 185,428 Feb 15, 2018, 04:09 PM
BOWLES ERSKINE B Director Feb 01, 2018 Option Exercise $57.02 417 23,776 160,733 Feb 05, 2018, 04:24 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 19, 2018 Option Exercise $55.84 35,889 2,004,042 205,285 Jan 19, 2018, 04:42 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 19, 2018 Option Exercise $55.84 14,782 825,427 113,275 Jan 19, 2018, 04:41 PM
Hotsuki Keishi Chief Risk Officer Jan 19, 2018 Option Exercise $55.84 22,381 1,249,755 206,903 Jan 19, 2018, 04:40 PM
GROSSMAN ERIC F Chief Legal Officer Jan 19, 2018 Option Exercise $55.84 29,946 1,672,185 206,095 Jan 19, 2018, 04:39 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 19, 2018 Option Exercise $55.84 69,851 3,900,480 240,297 Jan 19, 2018, 04:38 PM
PRUZAN JONATHAN Chief Financial Officer Jan 19, 2018 Option Exercise $55.84 54,223 3,027,812 176,255 Jan 19, 2018, 04:37 PM
KELLEHER THOMAS COLM President Jan 19, 2018 Option Exercise $55.84 25,792 1,440,225 700,947 Jan 19, 2018, 04:36 PM
GORMAN JAMES P Chairman and CEO Jan 19, 2018 Option Exercise $55.84 69,770 3,895,957 1,341,712 Jan 19, 2018, 04:34 PM
Hotsuki Keishi Chief Risk Officer Nov 28, 2017 Sale $50.00 25,000 1,250,000 207,270 Nov 30, 2017, 04:05 PM
TRAQUINA PERRY M Director Nov 22, 2017 Option Exercise $49.25 1,167 57,478 29,135 Nov 27, 2017, 04:44 PM
OWENS JAMES W Director Nov 22, 2017 Option Exercise $49.25 1,032 50,829 81,339 Nov 27, 2017, 04:42 PM
OLAYAN HUTHAM S Director Nov 22, 2017 Option Exercise $49.25 964 47,480 156,286 Nov 27, 2017, 04:41 PM
GLOCER THOMAS H Director Nov 22, 2017 Option Exercise $49.25 1,201 59,152 56,616 Nov 27, 2017, 04:40 PM
DARLING ALISTAIR Director Nov 24, 2017 Sale $49.29 3,850 189,785 14,218 Nov 27, 2017, 04:39 PM
BOWLES ERSKINE B Director Nov 22, 2017 Option Exercise $49.25 1,303 64,176 160,335 Nov 27, 2017, 04:38 PM
KELLEHER THOMAS COLM President Oct 23, 2017 Sale $50.59 40,000 2,023,516 692,037 Oct 25, 2017, 04:07 PM
GROSSMAN ERIC F Chief Legal Officer Oct 18, 2017 Sale $49.83 26,083 1,299,638 206,203 Oct 20, 2017, 04:16 PM
BRODSKY JEFFREY S Chief Human Resources Officer Oct 18, 2017 Sale $50.07 16,397 821,024 111,776 Oct 20, 2017, 04:15 PM
GORMAN JAMES P Chairman and CEO Aug 01, 2017 Option Exercise $30.01 212,366 6,373,104 1,602,609 Aug 03, 2017, 04:06 PM
GORMAN JAMES P Chairman and CEO Aug 01, 2017 Sale $47.26 212,366 10,037,011 1,390,243 Aug 03, 2017, 04:06 PM
PRUZAN JONATHAN Chief Financial Officer Jul 20, 2017 Sale $46.68 25,767 1,202,834 196,708 Jul 21, 2017, 04:05 PM
TRAQUINA PERRY M Director May 22, 2017 Option Exercise $41.73 1,198 49,990 27,675 May 24, 2017, 04:34 PM
OLAYAN HUTHAM S Director May 22, 2017 Option Exercise $41.73 1,138 47,486 153,781 May 24, 2017, 04:28 PM
GLOCER THOMAS H Director May 22, 2017 Option Exercise $41.73 1,258 52,494 54,882 May 24, 2017, 04:17 PM
BOWLES ERSKINE B Director May 22, 2017 Option Exercise $41.73 1,737 72,481 157,369 May 24, 2017, 04:13 PM
DARLING ALISTAIR Director May 17, 2017 Option Exercise $41.15 810 33,335 11,945 May 19, 2017, 04:27 PM
GORMAN JAMES P Chairman and CEO May 10, 2017 Option Exercise $30.01 212,365 6,373,074 1,600,578 May 12, 2017, 04:07 PM
GORMAN JAMES P Chairman and CEO May 10, 2017 Sale $42.93 212,365 9,117,530 1,388,213 May 12, 2017, 04:07 PM
BRODSKY JEFFREY S Chief Human Resources Officer Mar 01, 2017 Option Exercise $45.67 16,629 759,446 127,365 Mar 03, 2017, 04:42 PM
Hotsuki Keishi Chief Risk Officer Mar 01, 2017 Option Exercise $45.67 20,588 940,254 240,511 Mar 03, 2017, 04:42 PM
GROSSMAN ERIC F Chief Legal Officer Mar 01, 2017 Option Exercise $45.67 25,340 1,157,278 230,788 Mar 03, 2017, 04:07 PM
KELLEHER THOMAS COLM President Mar 01, 2017 Option Exercise $45.67 73,159 3,341,171 730,657 Mar 03, 2017, 04:05 PM
GORMAN JAMES P Chairman and CEO Mar 01, 2017 Option Exercise $45.67 102,861 4,697,662 1,390,502 Mar 03, 2017, 04:04 PM
DARLING ALISTAIR Director Feb 15, 2017 Option Exercise $46.48 1 46 12,703 Feb 17, 2017, 04:16 PM
WIRTH PAUL C Deputy Chief Financial Officer Feb 14, 2017 Sale $46.03 12,481 574,563 203,557 Feb 15, 2017, 04:15 PM
KELLEHER THOMAS COLM President Feb 08, 2017 Option Exercise $30.01 182,027 5,462,630 836,809 Feb 10, 2017, 04:04 PM
KELLEHER THOMAS COLM President Feb 08, 2017 Sale $43.82 182,027 7,976,587 654,782 Feb 10, 2017, 04:04 PM
DARLING ALISTAIR Director Feb 01, 2017 Option Exercise $42.94 291 12,495 12,648 Feb 02, 2017, 04:05 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 26, 2017 Sale $44.25 10,000 442,541 216,038 Jan 27, 2017, 04:13 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 18, 2017 Option Exercise $42.15 15,130 637,730 226,038 Jan 20, 2017, 04:13 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2017 Option Exercise $42.15 9,243 389,592 123,155 Jan 20, 2017, 04:11 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 19, 2017 Sale $42.37 11,755 498,058 111,400 Jan 20, 2017, 04:11 PM
Hotsuki Keishi Chief Risk Officer Jan 18, 2017 Option Exercise $42.15 13,334 562,028 220,679 Jan 20, 2017, 04:10 PM
GROSSMAN ERIC F Chief Legal Officer Jan 18, 2017 Option Exercise $42.15 18,191 766,751 223,909 Jan 20, 2017, 04:09 PM
GROSSMAN ERIC F Chief Legal Officer Jan 19, 2017 Sale $42.14 17,562 739,992 206,347 Jan 20, 2017, 04:09 PM
SIMKOWITZ DANIEL A Head of Investment Management Jan 18, 2017 Option Exercise $42.15 30,887 1,301,887 271,961 Jan 20, 2017, 04:08 PM
PRUZAN JONATHAN Chief Financial Officer Jan 18, 2017 Option Exercise $42.15 25,189 1,061,716 220,733 Jan 20, 2017, 04:06 PM
KELLEHER THOMAS COLM President Jan 18, 2017 Option Exercise $42.15 46,368 1,954,411 654,782 Jan 20, 2017, 04:05 PM
GORMAN JAMES P Chairman and CEO Jan 18, 2017 Option Exercise $42.15 42,328 1,784,125 1,304,372 Jan 20, 2017, 04:03 PM
GORMAN JAMES P Chairman and CEO Jan 19, 2017 Option Exercise $22.98 284,827 6,545,324 1,589,199 Jan 20, 2017, 04:03 PM
GORMAN JAMES P Chairman and CEO Jan 19, 2017 Sale $42.30 284,827 12,047,214 1,304,372 Jan 20, 2017, 04:03 PM
GORMAN JAMES P Chairman and CEO Nov 30, 2016 Sale $41.38 100,000 4,138,100 1,229,408 Dec 02, 2016, 04:08 PM
SIMKOWITZ DANIEL A Head of Investment Management Dec 01, 2016 Option Exercise $30.01 121,351 3,641,744 385,473 Dec 02, 2016, 04:06 PM
SIMKOWITZ DANIEL A Head of Investment Management Dec 01, 2016 Sale $42.05 121,351 5,102,919 264,122 Dec 02, 2016, 04:06 PM
ROSENTHAL JAMES A Chief Operating Officer Nov 18, 2016 Option Exercise $30.01 121,351 3,641,744 294,261 Nov 21, 2016, 04:06 PM
ROSENTHAL JAMES A Chief Operating Officer Nov 18, 2016 Sale $40.34 111,200 4,485,430 183,061 Nov 21, 2016, 04:06 PM
TRAQUINA PERRY M Director Nov 17, 2016 Option Exercise $39.71 1,070 42,490 20,304 Nov 18, 2016, 04:09 PM
OLAYAN HUTHAM S Director Nov 17, 2016 Option Exercise $39.71 1,196 47,493 145,424 Nov 18, 2016, 04:08 PM
GLOCER THOMAS H Director Nov 17, 2016 Option Exercise $39.71 1,322 52,497 47,251 Nov 18, 2016, 04:07 PM
BOWLES ERSKINE B Director Nov 17, 2016 Option Exercise $39.71 1,700 67,507 148,315 Nov 18, 2016, 04:05 PM
WIRTH PAUL C Deputy Chief Financial Officer Nov 14, 2016 Option Exercise $30.01 60,675 1,820,857 256,026 Nov 16, 2016, 04:11 PM
WIRTH PAUL C Deputy Chief Financial Officer Nov 14, 2016 Sale $39.00 60,675 2,366,380 195,351 Nov 16, 2016, 04:11 PM
BRODSKY JEFFREY S Chief Human Resources Officer Nov 14, 2016 Option Exercise $30.01 60,675 1,820,857 175,012 Nov 16, 2016, 04:10 PM
BRODSKY JEFFREY S Chief Human Resources Officer Nov 14, 2016 Sale $39.12 60,675 2,373,503 114,337 Nov 16, 2016, 04:10 PM
GORMAN JAMES P Chairman and CEO Nov 11, 2016 Option Exercise $22.98 200,000 4,596,000 1,566,192 Nov 14, 2016, 06:18 PM
GORMAN JAMES P Chairman and CEO Nov 11, 2016 Sale $37.70 200,000 7,540,460 1,366,192 Nov 14, 2016, 06:18 PM
KELLEHER THOMAS COLM President Nov 10, 2016 Option Exercise $22.98 222,713 5,117,945 863,335 Nov 14, 2016, 06:17 PM
KELLEHER THOMAS COLM President Nov 10, 2016 Sale $38.15 219,294 8,366,420 708,168 Nov 14, 2016, 06:17 PM
GROSSMAN ERIC F Chief Legal Officer Nov 11, 2016 Option Exercise $30.01 60,675 1,820,857 269,111 Nov 14, 2016, 06:16 PM
GROSSMAN ERIC F Chief Legal Officer Nov 11, 2016 Sale $37.84 60,675 2,296,063 208,436 Nov 14, 2016, 06:16 PM
SIMKOWITZ DANIEL A Head of Investment Management Nov 10, 2016 Sale $37.56 60,119 2,257,961 262,784 Nov 10, 2016, 04:26 PM
PRUZAN JONATHAN Chief Financial Officer Nov 08, 2016 Sale $33.90 44,625 1,512,667 210,814 Nov 09, 2016, 04:15 PM
ROSENTHAL JAMES A Chief Operating Officer Oct 27, 2016 Option Exercise $22.98 74,009 1,700,727 246,043 Oct 31, 2016, 04:07 PM
ROSENTHAL JAMES A Chief Operating Officer Oct 27, 2016 Sale $33.89 66,500 2,253,978 179,543 Oct 31, 2016, 04:07 PM
GROSSMAN ERIC F Chief Legal Officer Oct 21, 2016 Option Exercise $22.98 247,570 5,689,158 428,836 Oct 24, 2016, 04:35 PM
GROSSMAN ERIC F Chief Legal Officer Oct 21, 2016 Sale $33.22 220,400 7,322,349 208,436 Oct 24, 2016, 04:35 PM
ROSENTHAL JAMES A Chief Operating Officer Oct 20, 2016 Option Exercise $22.98 200,000 4,596,000 372,034 Oct 24, 2016, 04:34 PM
ROSENTHAL JAMES A Chief Operating Officer Oct 20, 2016 Sale $32.85 189,000 6,207,875 183,034 Oct 24, 2016, 04:34 PM
KELLEHER THOMAS COLM President Oct 20, 2016 Option Exercise $22.98 222,712 5,117,922 863,334 Oct 24, 2016, 04:32 PM
KELLEHER THOMAS COLM President Oct 20, 2016 Sale $32.90 222,712 7,328,026 640,622 Oct 24, 2016, 04:32 PM
WIRTH PAUL C Deputy Chief Financial Officer Aug 30, 2016 Sale $31.70 18,929 600,051 195,748 Sep 01, 2016, 04:11 PM
Hotsuki Keishi Chief Risk Officer Aug 17, 2016 Option Exercise $22.98 230,870 5,305,392 455,191 Aug 18, 2016, 04:14 PM
Hotsuki Keishi Chief Risk Officer Aug 17, 2016 Sale $30.27 246,452 7,458,982 224,321 Aug 18, 2016, 04:14 PM
WIRTH PAUL C Deputy Chief Financial Officer Aug 16, 2016 Sale $30.20 20,000 604,000 214,280 Aug 17, 2016, 04:43 PM
Nicolaisen Donald T Director Aug 02, 2016 Sale $27.88 3,302 92,062 91,704 Aug 04, 2016, 04:21 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 25, 2016 Option Exercise $22.98 100,000 2,298,000 270,880 Jul 27, 2016, 04:53 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 25, 2016 Sale $29.06 91,426 2,657,086 179,454 Jul 27, 2016, 04:53 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jul 21, 2016 Sale $28.79 19,955 574,584 123,710 Jul 22, 2016, 04:41 PM
KELLEHER THOMAS COLM President Jul 21, 2016 Option Exercise $28.78 20,411 587,429 639,429 Jul 22, 2016, 04:40 PM
GROSSMAN ERIC F Chief Legal Officer May 25, 2016 Sale $28.21 24,952 703,871 180,212 May 26, 2016, 04:37 PM
TRAQUINA PERRY M Director May 17, 2016 Option Exercise $26.25 1,619 42,491 19,008 May 19, 2016, 04:32 PM
OLAYAN HUTHAM S Director May 17, 2016 Option Exercise $26.25 1,810 47,504 142,628 May 19, 2016, 04:31 PM
Miscik Judith A Director May 17, 2016 Option Exercise $26.25 724 19,002 21,495 May 19, 2016, 04:29 PM
GLOCER THOMAS H Director May 17, 2016 Option Exercise $26.25 2,000 52,491 45,443 May 19, 2016, 04:28 PM
BOWLES ERSKINE B Director May 17, 2016 Option Exercise $26.25 2,381 62,491 144,894 May 19, 2016, 04:24 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 26, 2016 Sale $25.13 50,000 1,256,350 170,197 Mar 01, 2016, 04:48 PM
BRODSKY JEFFREY S Chief Human Resources Officer Feb 25, 2016 Option Exercise $23.71 24,335 576,983 133,218 Feb 26, 2016, 04:11 PM
Hotsuki Keishi Chief Risk Officer Feb 25, 2016 Option Exercise $23.71 30,419 721,234 222,813 Feb 26, 2016, 04:10 PM
GROSSMAN ERIC F Chief Legal Officer Feb 25, 2016 Option Exercise $23.71 36,503 865,486 204,274 Feb 26, 2016, 04:08 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 25, 2016 Option Exercise $23.71 90,550 2,146,940 241,575 Feb 26, 2016, 04:07 PM
KELLEHER THOMAS COLM President Feb 25, 2016 Option Exercise $23.71 83,174 1,972,055 658,586 Feb 26, 2016, 04:07 PM
GORMAN JAMES P Chairman and CEO Feb 25, 2016 Option Exercise $23.71 123,478 2,927,663 1,383,156 Feb 26, 2016, 04:06 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 20, 2016 Option Exercise $26.26 27,043 710,149 230,646 Jan 22, 2016, 04:14 PM
BRODSKY JEFFREY S Chief Human Resources Officer Jan 20, 2016 Option Exercise $26.26 15,330 402,566 109,821 Jan 22, 2016, 04:13 PM
Hotsuki Keishi Chief Risk Officer Jan 20, 2016 Option Exercise $26.26 5,924 155,564 193,484 Jan 22, 2016, 04:12 PM
GROSSMAN ERIC F Chief Legal Officer Jan 20, 2016 Option Exercise $26.26 7,625 200,233 169,011 Jan 22, 2016, 04:10 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 20, 2016 Option Exercise $26.26 9,434 247,737 181,977 Jan 22, 2016, 04:09 PM
PRUZAN JONATHAN Chief Financial Officer Jan 20, 2016 Option Exercise $26.26 44,496 1,168,465 251,517 Jan 22, 2016, 04:08 PM
KELLEHER THOMAS COLM President Jan 20, 2016 Option Exercise $26.26 31,718 832,915 563,413 Jan 22, 2016, 04:07 PM
GORMAN JAMES P Chairman and CEO Jan 20, 2016 Option Exercise $26.26 17,067 448,179 1,282,928 Jan 22, 2016, 04:06 PM
TRAQUINA PERRY M Director Nov 19, 2015 Option Exercise $34.20 1,243 42,513 7,767 Nov 20, 2015, 05:26 PM
OLAYAN HUTHAM S Director Nov 19, 2015 Option Exercise $34.20 1,389 47,506 129,787 Nov 20, 2015, 04:55 PM
Miscik Judith A Director Nov 19, 2015 Option Exercise $34.20 556 19,016 11,131 Nov 20, 2015, 04:54 PM
GLOCER THOMAS H Director Nov 19, 2015 Option Exercise $34.20 1,535 52,500 33,535 Nov 20, 2015, 04:52 PM
BOWLES ERSKINE B Director Nov 19, 2015 Option Exercise $34.20 1,754 59,990 131,364 Nov 20, 2015, 04:50 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 31, 2015 Sale $39.25 12,000 471,000 135,384 Aug 04, 2015, 05:11 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jul 21, 2015 Option Exercise $40.04 15,555 622,822 468,423 Jul 23, 2015, 04:51 PM
Nicolaisen Donald T Director May 26, 2015 Sale $37.77 4,160 157,127 81,872 May 27, 2015, 05:57 PM
OLAYAN HUTHAM S Director May 19, 2015 Option Exercise $38.64 1,100 42,503 127,397 May 21, 2015, 04:47 PM
Miscik Judith A Director May 19, 2015 Option Exercise $38.64 414 15,997 10,487 May 21, 2015, 04:44 PM
GLOCER THOMAS H Director May 19, 2015 Option Exercise $38.64 1,316 50,849 31,742 May 21, 2015, 04:40 PM
DAVIES HOWARD J Director May 19, 2015 Option Exercise $38.64 4,792 185,159 67,151 May 21, 2015, 04:38 PM
BOWLES ERSKINE B Director May 19, 2015 Option Exercise $38.64 1,488 57,495 128,531 May 21, 2015, 04:36 PM
DAVIES HOWARD J Director May 15, 2015 Option Exercise $37.88 262 9,924 71,947 May 19, 2015, 05:40 PM
DAVIES HOWARD J Director May 13, 2015 Option Exercise $37.71 860 32,434 72,005 May 14, 2015, 04:32 PM
WIRTH PAUL C Deputy Chief Financial Officer May 11, 2015 Sale $38.37 39,462 1,513,960 179,582 May 12, 2015, 05:20 PM
KELLEHER THOMAS COLM President, Inst'l Securities Apr 29, 2015 Sale $36.72 32,833 1,205,628 483,225 May 01, 2015, 04:10 PM
ROSENTHAL JAMES A Chief Operating Officer Apr 21, 2015 Sale $37.10 50,030 1,856,113 147,384 Apr 21, 2015, 05:17 PM
GROSSMAN ERIC F Chief Legal Officer Apr 21, 2015 Sale $37.10 34,481 1,279,314 124,646 Apr 21, 2015, 05:14 PM
WIRTH PAUL C Deputy Chief Financial Officer Mar 02, 2015 Option Exercise $35.79 11,768 421,177 219,044 Mar 02, 2015, 04:59 PM
Hotsuki Keishi Chief Risk Officer Mar 02, 2015 Option Exercise $35.79 26,430 945,930 158,488 Mar 02, 2015, 04:57 PM
GROSSMAN ERIC F Chief Legal Officer Mar 02, 2015 Option Exercise $35.79 10,260 367,205 159,127 Mar 02, 2015, 04:56 PM
ROSENTHAL JAMES A Chief Operating Officer Mar 02, 2015 Option Exercise $35.79 47,358 1,694,943 157,871 Mar 02, 2015, 04:54 PM
Porat Ruth Chief Financial Officer Mar 02, 2015 Option Exercise $35.79 52,257 1,870,278 881,037 Mar 02, 2015, 04:53 PM
KELLEHER THOMAS COLM President, Inst'l Securities Mar 02, 2015 Option Exercise $35.79 46,553 1,666,132 516,058 Mar 02, 2015, 04:51 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Mar 02, 2015 Option Exercise $35.79 51,296 1,835,884 512,195 Mar 02, 2015, 04:50 PM
GORMAN JAMES P Chairman and CEO Mar 02, 2015 Option Exercise $35.79 63,362 2,267,726 1,140,174 Mar 02, 2015, 04:44 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 21, 2015 Option Exercise $34.75 32,339 1,123,780 229,009 Jan 23, 2015, 04:23 PM
WIRTH PAUL C Deputy Chief Financial Officer Dec 04, 2014 Option Exercise $35.56 1,468 52,195 183,420 Jan 23, 2015, 04:23 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 23, 2015 Sale $35.45 21,500 762,189 227,609 Jan 23, 2015, 04:23 PM
Hotsuki Keishi Chief Risk Officer Jan 21, 2015 Option Exercise $34.75 29,698 1,032,006 133,415 Jan 23, 2015, 04:22 PM
GROSSMAN ERIC F Chief Legal Officer Jan 21, 2015 Option Exercise $34.75 20,560 714,460 149,163 Jan 23, 2015, 04:21 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 21, 2015 Option Exercise $34.75 52,533 1,825,522 172,153 Jan 23, 2015, 04:19 PM
Porat Ruth Chief Financial Officer Jan 21, 2015 Option Exercise $34.75 73,366 2,549,469 839,157 Jan 23, 2015, 04:18 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 21, 2015 Option Exercise $34.75 42,903 1,490,879 463,050 Jan 23, 2015, 04:17 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 21, 2015 Option Exercise $34.75 60,269 2,094,348 463,533 Jan 23, 2015, 04:15 PM
GORMAN JAMES P Chairman and CEO Jan 21, 2015 Option Exercise $34.75 94,613 3,287,802 1,075,725 Jan 23, 2015, 04:14 PM
TYSON LAURA D Director Nov 26, 2014 Sale $35.30 25,000 882,435 69,791 Nov 26, 2014, 04:18 PM
DAVIES HOWARD J Director Nov 15, 2014 Option Exercise $35.77 421 15,061 72,725 Nov 18, 2014, 04:51 PM
OLAYAN HUTHAM S Director Nov 13, 2014 Option Exercise $35.80 1,187 42,500 118,779 Nov 14, 2014, 05:34 PM
GLOCER THOMAS H Director Nov 13, 2014 Option Exercise $35.80 1,257 45,006 23,744 Nov 14, 2014, 05:31 PM
BOWLES ERSKINE B Director Nov 13, 2014 Option Exercise $35.80 1,606 57,502 119,443 Nov 14, 2014, 05:28 PM
SEXTON O GRIFFITH Director Nov 01, 2014 Option Exercise $35.01 1,214 42,499 744,176 Nov 04, 2014, 05:17 PM
GROSSMAN ERIC F Chief Legal Officer Aug 25, 2014 Option Exercise $22.98 54,500 1,252,410 161,621 Aug 26, 2014, 05:15 PM
GROSSMAN ERIC F Chief Legal Officer Aug 25, 2014 Sale $34.29 54,500 1,868,723 107,121 Aug 26, 2014, 05:15 PM
WIRTH PAUL C Deputy Chief Financial Officer Aug 25, 2014 Sale $34.44 10,000 344,400 184,502 Aug 26, 2014, 05:09 PM
GROSSMAN ERIC F Chief Legal Officer Jul 23, 2014 Option Exercise $22.98 35,000 804,300 141,790 Jul 25, 2014, 05:14 PM
GROSSMAN ERIC F Chief Legal Officer Jul 23, 2014 Sale $32.90 35,000 1,151,395 106,790 Jul 25, 2014, 05:14 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jul 22, 2014 Option Exercise $22.98 100,000 2,298,000 538,430 Jul 24, 2014, 05:04 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jul 22, 2014 Sale $33.02 100,000 3,301,730 438,430 Jul 24, 2014, 05:04 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jul 21, 2014 Option Exercise $32.53 2,750 89,471 401,420 Jul 23, 2014, 05:10 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 18, 2014 Sale $32.50 30,800 1,001,000 107,843 Jul 18, 2014, 04:38 PM
DAVIES HOWARD J Director May 15, 2014 Option Exercise $29.57 262 7,748 72,828 May 16, 2014, 05:34 PM
DAVIES HOWARD J Director May 14, 2014 Option Exercise $30.19 1,076 32,485 72,913 May 16, 2014, 05:34 PM
SEXTON O GRIFFITH Director May 13, 2014 Option Exercise $30.42 1,397 42,494 742,291 May 15, 2014, 05:54 PM
OLAYAN HUTHAM S Director May 13, 2014 Option Exercise $30.42 1,397 42,494 116,918 May 15, 2014, 05:53 PM
Herz Robert H Director Feb 05, 2014 Option Exercise $29.02 2 58 47 May 15, 2014, 05:49 PM
Herz Robert H Director Jan 22, 2014 Option Exercise $32.80 45 1,476 45 May 15, 2014, 05:49 PM
GLOCER THOMAS H Director May 13, 2014 Option Exercise $30.42 1,397 42,494 22,381 May 15, 2014, 05:49 PM
BOWLES ERSKINE B Director May 13, 2014 Option Exercise $30.42 1,726 52,501 117,112 May 15, 2014, 05:47 PM
Hotsuki Keishi Chief Risk Officer May 09, 2014 Sale $29.50 3,528 104,081 114,356 May 09, 2014, 05:35 PM
Hotsuki Keishi Chief Risk Officer May 08, 2014 Sale $30.09 30,336 912,662 117,884 May 09, 2014, 05:35 PM
DAVIES HOWARD J Director May 01, 2014 Sale $31.17 12,000 374,040 65,771 May 02, 2014, 04:42 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 12, 2014 Sale $30.18 33,500 1,010,896 138,643 Feb 13, 2014, 05:07 PM
WIRTH PAUL C Deputy Chief Financial Officer Feb 11, 2014 Sale $30.20 25,000 755,000 192,991 Feb 13, 2014, 05:05 PM
GROSSMAN ERIC F Chief Legal Officer Feb 05, 2014 Option Exercise $29.18 1,572 45,871 0 Feb 07, 2014, 05:03 PM
GROSSMAN ERIC F Chief Legal Officer Feb 05, 2014 Sale $29.22 28,929 845,404 106,252 Feb 07, 2014, 05:03 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 28, 2014 Option Exercise $29.99 8,411 252,204 217,991 Jan 29, 2014, 04:52 PM
WIRTH PAUL C Deputy Chief Financial Officer Jan 27, 2014 Option Exercise $30.03 30,474 915,287 210,093 Jan 29, 2014, 04:52 PM
Hotsuki Keishi Chief Risk Officer Jan 28, 2014 Option Exercise $29.99 9,912 297,211 148,034 Jan 29, 2014, 04:50 PM
Hotsuki Keishi Chief Risk Officer Jan 27, 2014 Option Exercise $30.03 20,832 625,689 157,947 Jan 29, 2014, 04:50 PM
GROSSMAN ERIC F Chief Legal Officer Jan 28, 2014 Option Exercise $29.99 21,166 634,663 135,181 Jan 29, 2014, 04:49 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 28, 2014 Option Exercise $29.99 34,622 1,038,141 198,553 Jan 29, 2014, 04:48 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 27, 2014 Option Exercise $30.03 38,883 1,167,851 251,733 Jan 29, 2014, 04:48 PM
Porat Ruth Chief Financial Officer Jan 27, 2014 Option Exercise $30.03 91,640 2,752,407 841,619 Jan 29, 2014, 04:47 PM
Porat Ruth Chief Financial Officer Jan 28, 2014 Option Exercise $29.99 21,593 647,466 858,709 Jan 29, 2014, 04:47 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 28, 2014 Option Exercise $29.99 20,133 603,688 411,750 Jan 29, 2014, 04:45 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 27, 2014 Option Exercise $30.03 52,453 1,575,426 389,048 Jan 29, 2014, 04:45 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 29, 2014 Sale $30.16 8,500 256,361 403,250 Jan 29, 2014, 04:45 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 28, 2014 Option Exercise $29.99 18,871 565,847 437,298 Jan 29, 2014, 04:43 PM
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 27, 2014 Option Exercise $30.03 72,055 2,164,172 419,577 Jan 29, 2014, 04:43 PM
GORMAN JAMES P Chairman and CEO Jan 28, 2014 Option Exercise $29.99 22,644 678,980 1,057,325 Jan 29, 2014, 04:41 PM
GORMAN JAMES P Chairman and CEO Jan 27, 2014 Option Exercise $30.03 106,957 3,212,453 1,039,404 Jan 29, 2014, 04:41 PM
DAVIES HOWARD J Director Nov 15, 2013 Option Exercise $30.36 416 12,631 77,682 Nov 18, 2013, 05:21 PM
Nicolaisen Donald T Director Nov 15, 2013 Sale $30.33 4,704 142,679 72,283 Nov 15, 2013, 05:24 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 31, 2013 Sale $27.32 12,850 351,062 100,471 Aug 02, 2013, 05:10 PM
DAVIES HOWARD J Director May 15, 2013 Option Exercise $24.64 817 20,131 77,905 May 17, 2013, 05:13 PM
SEXTON O GRIFFITH Director May 14, 2013 Option Exercise $24.27 1,923 46,670 730,587 May 16, 2013, 05:08 PM
OLAYAN HUTHAM S Director May 14, 2013 Option Exercise $24.27 1,751 42,496 105,209 May 16, 2013, 05:06 PM
BOWLES ERSKINE B Director May 14, 2013 Option Exercise $24.27 1,957 47,495 104,853 May 16, 2013, 04:54 PM
Hotsuki Keishi Chief Risk Officer Feb 13, 2013 Sale $23.78 23,034 547,641 122,600 Feb 14, 2013, 05:41 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 08, 2013 Option Exercise $23.23 55,823 1,296,489 391,738 Feb 12, 2013, 06:17 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 12, 2013 Option Exercise $23.43 29,853 699,456 104,550 Feb 12, 2013, 06:17 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 12, 2013 Option Exercise $23.43 29,853 699,456 361,885 Feb 12, 2013, 06:17 PM
WIRTH PAUL C Deputy CFO/Controller Feb 07, 2013 Sale $22.82 20,000 456,328 191,501 Feb 08, 2013, 04:47 PM
WIRTH PAUL C Deputy CFO/Controller Feb 08, 2013 Sale $23.10 17,379 401,455 167,707 Feb 08, 2013, 04:47 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 30, 2013 Option Exercise $22.68 8,506 192,916 20,801 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 05, 2013 Option Exercise $23.25 6,723 156,310 494,734 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 28, 2013 Option Exercise $22.55 12,295 277,252 12,295 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 07, 2013 Option Exercise $23.13 28,775 665,566 74,697 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 30, 2013 Option Exercise $22.68 8,506 192,916 501,457 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 07, 2013 Option Exercise $23.13 28,775 665,566 447,561 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 06, 2013 Option Exercise $23.34 18,398 429,409 45,922 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 28, 2013 Option Exercise $22.55 12,295 277,252 509,963 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 06, 2013 Option Exercise $23.34 18,398 429,409 476,336 Feb 07, 2013, 06:43 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 05, 2013 Option Exercise $23.25 6,723 156,310 27,524 Feb 07, 2013, 06:43 PM
WIRTH PAUL C Deputy CFO/Controller Feb 01, 2013 Option Exercise $23.35 27,749 648,078 205,087 Feb 05, 2013, 07:16 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 01, 2013 Option Exercise $23.35 31,071 725,663 314,390 Feb 05, 2013, 07:14 PM
KELLEHER THOMAS COLM President, Inst'l Securities Feb 01, 2013 Option Exercise $23.35 78,048 1,822,811 364,817 Feb 05, 2013, 07:12 PM
KELLEHER THOMAS COLM President, Inst'l Securities Feb 04, 2013 Sale $22.87 58,555 1,338,942 306,262 Feb 05, 2013, 07:12 PM
Hotsuki Keishi Chief Risk Officer Feb 01, 2013 Option Exercise $23.35 13,649 318,772 139,801 Feb 05, 2013, 07:10 PM
GROSSMAN ERIC F Chief Legal Officer Feb 01, 2013 Option Exercise $23.35 8,260 192,912 78,121 Feb 05, 2013, 07:08 PM
GROSSMAN ERIC F Chief Legal Officer Feb 04, 2013 Sale $22.85 13,847 316,397 64,274 Feb 05, 2013, 07:08 PM
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 01, 2013 Option Exercise $23.35 23,599 551,155 522,258 Feb 05, 2013, 07:06 PM
Porat Ruth Chief Financial Officer Feb 01, 2013 Option Exercise $23.35 56,474 1,318,950 843,735 Feb 05, 2013, 07:03 PM
GORMAN JAMES P Chairman and CEO Feb 01, 2013 Option Exercise $23.35 81,630 1,906,469 964,814 Feb 05, 2013, 07:01 PM
WIRTH PAUL C Deputy CFO/Controller Jan 22, 2013 Option Exercise $22.98 675 15,511 0 Jan 24, 2013, 04:08 PM
WIRTH PAUL C Deputy CFO/Controller Jan 22, 2013 Sale $22.05 38,771 854,901 140,766 Jan 24, 2013, 04:08 PM
Hotsuki Keishi Chief Risk Officer Jan 22, 2013 Sale $22.05 38,191 842,112 153,450 Jan 24, 2013, 04:07 PM
KELLEHER THOMAS COLM President, Inst'l Securities Jan 22, 2013 Sale $22.23 53,486 1,188,972 442,865 Jan 24, 2013, 04:05 PM
SEXTON O GRIFFITH Director Nov 15, 2012 Option Exercise $16.24 2,873 46,665 718,186 Nov 16, 2012, 05:18 PM
OLAYAN HUTHAM S Director Nov 15, 2012 Option Exercise $16.24 2,617 42,507 92,978 Nov 16, 2012, 05:16 PM
BOWLES ERSKINE B Director Nov 15, 2012 Option Exercise $16.24 2,924 47,494 92,400 Nov 16, 2012, 05:13 PM
DAVIES HOWARD J Director Nov 01, 2012 Option Exercise $17.48 411 7,183 68,033 Nov 02, 2012, 05:29 PM
DAVIES HOWARD J Director May 18, 2012 Option Exercise $13.45 934 12,565 68,256 May 21, 2012, 05:38 PM
SEXTON O GRIFFITH Director May 15, 2012 Option Exercise $14.29 2,975 42,501 714,785 May 17, 2012, 05:22 PM
OLAYAN HUTHAM S Director May 15, 2012 Option Exercise $14.29 2,975 42,501 89,828 May 17, 2012, 05:19 PM
BOWLES ERSKINE B Director May 15, 2012 Option Exercise $14.29 3,325 47,501 88,896 May 17, 2012, 05:11 PM
ROSENTHAL JAMES A Chief Operating Officer Mar 05, 2012 Option Exercise $18.48 18,156 335,432 343,071 Mar 06, 2012, 06:44 PM
FLEMING GREGORY J President-Asset Mgt/GWM Feb 08, 2012 Option Exercise $20.27 46,181 936,089 541,981 Feb 09, 2012, 05:35 PM
WIRTH PAUL C Deputy CFO/Controller Jan 20, 2012 Option Exercise $18.12 23,502 425,856 178,422 Jan 24, 2012, 06:39 PM
Taubman Paul J Co-President-Inst'l Securities Jan 20, 2012 Option Exercise $18.12 37,816 685,226 1,269,224 Jan 24, 2012, 06:37 PM
ROSENTHAL JAMES A Chief Operating Officer Jan 20, 2012 Option Exercise $18.12 21,018 380,846 360,605 Jan 24, 2012, 06:35 PM
GROSSMAN ERIC F Chief Legal Officer Jan 20, 2012 Option Exercise $18.12 7,355 133,273 97,929 Jan 24, 2012, 06:34 PM
GROSSMAN ERIC F Chief Legal Officer Jan 23, 2012 Sale $18.22 12,482 227,366 85,447 Jan 24, 2012, 06:34 PM
Porat Ruth Chief Financial Officer Jan 20, 2012 Option Exercise $18.12 33,987 615,844 796,552 Jan 24, 2012, 06:32 PM
Hotsuki Keishi Chief Risk Officer Jan 20, 2012 Option Exercise $18.12 11,259 204,013 189,938 Jan 24, 2012, 06:31 PM
KELLEHER THOMAS COLM Co-President-Inst'l Securities Jan 20, 2012 Option Exercise $18.12 27,015 489,512 492,820 Jan 24, 2012, 06:30 PM
GORMAN JAMES P Chairman of the Board and CEO Jan 20, 2012 Option Exercise $18.12 42,194 764,555 1,078,640 Jan 24, 2012, 06:28 PM
Taubman Paul J Co-President-Inst'l Securities Jan 03, 2012 Option Exercise $16.00 20,089 321,424 1,118,473 Jan 04, 2012, 05:04 PM
Porat Ruth Chief Financial Officer Jan 03, 2012 Option Exercise $16.00 12,054 192,864 653,115 Jan 04, 2012, 04:58 PM
SEXTON O GRIFFITH Director Nov 18, 2011 Option Exercise $14.20 2,992 42,497 693,943 Nov 21, 2011, 05:21 PM
OLAYAN HUTHAM S Director Nov 18, 2011 Option Exercise $14.20 2,992 42,497 68,979 Nov 21, 2011, 05:18 PM
BOWLES ERSKINE B Director Nov 18, 2011 Option Exercise $14.20 3,344 47,496 67,657 Nov 21, 2011, 05:16 PM
DAVIES HOWARD J Director Nov 01, 2011 Option Exercise $16.24 406 6,592 51,294 Nov 03, 2011, 05:07 PM
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jun 30, 2011 Option Exercise $20.34 385,464,097 7,840,339,792 432,017,152 Aug 23, 2011, 12:09 PM
OLAYAN HUTHAM S Director Aug 05, 2011 Buy $20.00 5,000 100,000 65,642 Aug 05, 2011, 11:30 AM
Taubman Paul J Co-President-Inst'l Securities Aug 04, 2011 Buy $20.38 50,000 1,019,235 1,138,562 Aug 05, 2011, 08:41 AM
Porat Ruth Chief Financial Officer Aug 04, 2011 Buy $20.50 25,000 512,500 665,169 Aug 05, 2011, 08:39 AM
GORMAN JAMES P President and CEO Aug 04, 2011 Buy $20.62 100,000 2,062,070 854,393 Aug 04, 2011, 10:30 AM
OWENS JAMES W Director Aug 02, 2011 Buy $22.04 5,000 110,200 18,048 Aug 02, 2011, 02:27 PM
ROSENTHAL JAMES A Chief Operating Officer Jul 22, 2011 Sale $23.72 8,000 189,785 226,723 Jul 22, 2011, 04:41 PM
ROSENTHAL JAMES A Chief Operating Officer May 20, 2011 Option Exercise $24.13 35,304 851,709 229,175 May 20, 2011, 06:48 PM
Hotsuki Keishi Chief Risk Officer May 20, 2011 Option Exercise $24.13 12,302 296,786 104,366 May 20, 2011, 06:46 PM
SEXTON O GRIFFITH Director May 18, 2011 Option Exercise $24.39 1,845 45,006 690,612 May 20, 2011, 06:39 PM
OLAYAN HUTHAM S Director May 18, 2011 Option Exercise $24.39 1,742 42,494 60,642 May 20, 2011, 06:32 PM
DAVIES HOWARD J Director May 18, 2011 Option Exercise $24.39 749 18,271 51,577 May 20, 2011, 06:22 PM
BOWLES ERSKINE B Director May 18, 2011 Option Exercise $24.39 1,947 47,494 63,930 May 20, 2011, 06:15 PM
ROSENTHAL JAMES A Chief Operating Officer Feb 15, 2011 Option Exercise $30.32 1,311 39,750 0 Feb 16, 2011, 04:51 PM
Porat Ruth Chief Financial Officer Feb 14, 2011 Option Exercise $29.98 551 16,519 30,351 Feb 16, 2011, 04:49 PM
WIRTH PAUL C Finance Director/Controller Feb 09, 2011 Option Exercise $30.08 997 29,990 125 Feb 11, 2011, 05:08 PM
FLEMING GREGORY J President-Asset Mgt/GWM Feb 08, 2011 Option Exercise $30.58 50,879 1,555,625 399,790 Feb 10, 2011, 05:37 PM
WIRTH PAUL C Finance Director/Controller Feb 07, 2011 Sale $30.42 17,717 538,934 152,673 Feb 09, 2011, 06:02 PM
KELLEHER THOMAS COLM Co-President Inst'l Securities Feb 07, 2011 Sale $30.08 50,000 1,504,076 401,744 Feb 09, 2011, 05:59 PM
WIRTH PAUL C Finance Director/Controller Jan 21, 2011 Option Exercise $29.78 11,331 337,437 157,873 Jan 25, 2011, 05:05 PM
Porat Ruth Chief Financial Officer Jan 21, 2011 Option Exercise $29.78 40,371 1,202,248 640,160 Jan 25, 2011, 05:04 PM
KELLEHER THOMAS COLM Co-President-Inst'l Securities Jan 21, 2011 Option Exercise $29.78 22,210 661,414 428,671 Jan 25, 2011, 05:01 PM
Porat Ruth Chief Financial Officer Jan 03, 2011 Option Exercise $28.02 12,100 339,102 556,744 Jan 04, 2011, 06:15 PM
SEXTON O GRIFFITH Director Nov 18, 2010 Option Exercise $25.80 1,744 45,004 669,728 Nov 19, 2010, 05:16 PM
SEXTON O GRIFFITH Director Nov 18, 2010 Option Exercise $25.80 1,744 45,004 669,728 Nov 19, 2010, 05:16 PM
OLAYAN HUTHAM S Director Nov 18, 2010 Option Exercise $25.80 1,647 42,501 48,482 Nov 19, 2010, 05:15 PM
OLAYAN HUTHAM S Director Nov 18, 2010 Option Exercise $25.80 1,647 42,501 48,482 Nov 19, 2010, 05:15 PM
BOWLES ERSKINE B Director Nov 18, 2010 Option Exercise $25.80 1,841 47,507 51,543 Nov 19, 2010, 05:14 PM
BOWLES ERSKINE B Director Nov 18, 2010 Option Exercise $25.80 1,841 47,507 51,543 Nov 19, 2010, 05:14 PM
DAVIES HOWARD J Director Nov 01, 2010 Option Exercise $24.79 403 9,990 41,859 Nov 03, 2010, 05:27 PM
DAVIES HOWARD J Director Nov 01, 2010 Option Exercise $24.79 403 9,990 41,859 Nov 03, 2010, 05:27 PM
MACK JOHN J Chairman of the Board Oct 21, 2010 Option Exercise $24.85 28,900 718,165 2,249,387 Oct 22, 2010, 05:32 PM
MACK JOHN J Chairman of the Board Oct 21, 2010 Option Exercise $24.85 28,900 718,165 2,249,387 Oct 22, 2010, 05:32 PM
NIDES THOMAS R Chief Operating Officer Oct 07, 2010 Option Exercise $25.34 28,275 716,630 207,612 Oct 08, 2010, 04:56 PM
MACK JOHN J Chairman of the Board Oct 07, 2010 Option Exercise $25.34 106,216 2,692,044 2,112,987 Oct 08, 2010, 04:52 PM
MACK JOHN J Chairman of the Board Oct 07, 2010 Option Exercise $25.34 106,216 2,692,044 2,112,987 Oct 08, 2010, 04:52 PM
CHAMMAH WALID A Chairman/CEO of MS Int'l Oct 07, 2010 Option Exercise $25.34 82,720 2,096,538 639,269 Oct 08, 2010, 04:50 PM
NIDES THOMAS R Chief Operating Officer Sep 01, 2010 Option Exercise $25.12 10,174 255,571 235,887 Sep 02, 2010, 05:44 PM
CHINA INVESTMENT CORP 10% Owner Aug 09, 2010 Sale $27.42 1,600,000 43,872,000 150,782,379 Aug 11, 2010, 04:07 PM
CHINA INVESTMENT CORP 10% Owner Aug 03, 2010 Sale $27.52 1,310,000 36,051,201 152,382,379 Aug 05, 2010, 04:05 PM
CHINA INVESTMENT CORP 10% Owner Aug 02, 2010 Sale $27.55 2,000,000 55,099,998 153,692,379 Aug 04, 2010, 04:06 PM
CHINA INVESTMENT CORP 10% Owner Jul 30, 2010 Sale $27.10 3,340,000 90,514,001 155,692,379 Aug 03, 2010, 04:07 PM
CHINA INVESTMENT CORP 10% Owner Jul 29, 2010 Sale $27.09 2,600,000 70,434,000 159,032,379 Aug 02, 2010, 04:10 PM
CHINA INVESTMENT CORP 10% Owner Jul 26, 2010 Sale $27.04 2,750,000 74,360,003 166,507,379 Jul 27, 2010, 04:02 PM
CHINA INVESTMENT CORP 10% Owner Jul 23, 2010 Sale $27.05 1,875,000 50,718,749 166,507,379 Jul 27, 2010, 04:02 PM
CHINA INVESTMENT CORP 10% Owner Jul 21, 2010 Sale $27.17 4,525,000 122,944,250 171,132,379 Jul 23, 2010, 04:02 PM
CHINA INVESTMENT CORP 10% Owner Jul 22, 2010 Sale $27.13 575,000 15,599,750 171,132,379 Jul 23, 2010, 04:02 PM

Desktop Version

Owner Relationship Date Transaction Value($)
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Apr 26, 2019 Option Exercise 42,513,472
SIMKOWITZ DANIEL A Head of Investment Management Apr 18, 2019 Buy 332,979
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Mar 22, 2019 Option Exercise 262,710,195
WIRTH PAUL C Deputy Chief Financial Officer Feb 26, 2019 Sale 1,060,073
BRODSKY JEFFREY S Chief Human Resources Officer Feb 26, 2019 Option Exercise 825,279
Hotsuki Keishi Chief Risk Officer Feb 26, 2019 Option Exercise 1,085,886
GROSSMAN ERIC F Chief Legal Officer Feb 26, 2019 Option Exercise 1,326,875
SIMKOWITZ DANIEL A Head of Investment Management Feb 26, 2019 Option Exercise 1,850,327
PRUZAN JONATHAN Chief Financial Officer Feb 26, 2019 Option Exercise 1,554,280
KELLEHER THOMAS COLM President Feb 26, 2019 Option Exercise 3,081,473
GORMAN JAMES P Chairman and CEO Feb 26, 2019 Option Exercise 5,529,759
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jan 29, 2019 Option Exercise 49,642,729
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jan 18, 2019 Option Exercise 32,200,000
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2019 Sale 675,152
WIRTH PAUL C Deputy Chief Financial Officer Jan 18, 2019 Option Exercise 1,456,312
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2019 Option Exercise 479,781
Hotsuki Keishi Chief Risk Officer Jan 18, 2019 Option Exercise 744,615
GROSSMAN ERIC F Chief Legal Officer Jan 18, 2019 Option Exercise 918,435
SIMKOWITZ DANIEL A Head of Investment Management Jan 18, 2019 Option Exercise 1,419,184
PRUZAN JONATHAN Chief Financial Officer Jan 18, 2019 Option Exercise 1,125,344
KELLEHER THOMAS COLM President Jan 18, 2019 Option Exercise 522,821
GORMAN JAMES P Chairman and CEO Jan 18, 2019 Option Exercise 4,092,662
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Dec 20, 2018 Option Exercise 234,065,269
TRAQUINA PERRY M Director Dec 01, 2018 Option Exercise 57,511
SCHAPIRO MARY L Director Dec 01, 2018 Option Exercise 28,335
OLAYAN HUTHAM S Director Dec 01, 2018 Option Exercise 47,505
GLOCER THOMAS H Director Dec 01, 2018 Option Exercise 72,519
CORLEY ELIZABETH Director Dec 01, 2018 Option Exercise 42,502
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Oct 30, 2018 Option Exercise 78,287,584
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Sep 21, 2018 Option Exercise 247,446,260
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jul 27, 2018 Option Exercise 65,253,718
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jun 22, 2018 Option Exercise 284,341,452
TRAQUINA PERRY M Director May 24, 2018 Option Exercise 57,501
OWENS JAMES W Director May 24, 2018 Option Exercise 47,506
OLAYAN HUTHAM S Director May 24, 2018 Option Exercise 47,506
GLOCER THOMAS H Director May 24, 2018 Option Exercise 72,495
CORLEY ELIZABETH Director May 24, 2018 Option Exercise 27,515
DARLING ALISTAIR Director May 22, 2018 Option Exercise 26,695
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Apr 26, 2018 Option Exercise 46,540,898
BRODSKY JEFFREY S Chief Human Resources Officer Feb 27, 2018 Option Exercise 995,452
Hotsuki Keishi Chief Risk Officer Feb 27, 2018 Option Exercise 1,244,243
GROSSMAN ERIC F Chief Legal Officer Feb 27, 2018 Option Exercise 1,493,149
KELLEHER THOMAS COLM President Feb 27, 2018 Option Exercise 4,124,103
GORMAN JAMES P Chairman and CEO Feb 27, 2018 Option Exercise 5,860,172
WIRTH PAUL C Deputy Chief Financial Officer Feb 26, 2018 Sale 1,138,110
PRUZAN JONATHAN Chief Financial Officer Feb 16, 2018 Sale 2,889,361
BRODSKY JEFFREY S Chief Human Resources Officer Feb 14, 2018 Sale 607,600
GROSSMAN ERIC F Chief Legal Officer Feb 14, 2018 Sale 953,296
GORMAN JAMES P Chairman and CEO Feb 15, 2018 Sale 5,533,810
SIMKOWITZ DANIEL A Head of Investment Management Feb 14, 2018 Sale 1,730,935
SIMKOWITZ DANIEL A Head of Investment Management Feb 13, 2018 Sale 2,930,679
BOWLES ERSKINE B Director Feb 01, 2018 Option Exercise 23,776
WIRTH PAUL C Deputy Chief Financial Officer Jan 19, 2018 Option Exercise 2,004,042
BRODSKY JEFFREY S Chief Human Resources Officer Jan 19, 2018 Option Exercise 825,427
Hotsuki Keishi Chief Risk Officer Jan 19, 2018 Option Exercise 1,249,755
GROSSMAN ERIC F Chief Legal Officer Jan 19, 2018 Option Exercise 1,672,185
SIMKOWITZ DANIEL A Head of Investment Management Jan 19, 2018 Option Exercise 3,900,480
PRUZAN JONATHAN Chief Financial Officer Jan 19, 2018 Option Exercise 3,027,812
KELLEHER THOMAS COLM President Jan 19, 2018 Option Exercise 1,440,225
GORMAN JAMES P Chairman and CEO Jan 19, 2018 Option Exercise 3,895,957
Hotsuki Keishi Chief Risk Officer Nov 28, 2017 Sale 1,250,000
TRAQUINA PERRY M Director Nov 22, 2017 Option Exercise 57,478
OWENS JAMES W Director Nov 22, 2017 Option Exercise 50,829
OLAYAN HUTHAM S Director Nov 22, 2017 Option Exercise 47,480
GLOCER THOMAS H Director Nov 22, 2017 Option Exercise 59,152
DARLING ALISTAIR Director Nov 24, 2017 Sale 189,785
BOWLES ERSKINE B Director Nov 22, 2017 Option Exercise 64,176
KELLEHER THOMAS COLM President Oct 23, 2017 Sale 2,023,516
GROSSMAN ERIC F Chief Legal Officer Oct 18, 2017 Sale 1,299,638
BRODSKY JEFFREY S Chief Human Resources Officer Oct 18, 2017 Sale 821,024
GORMAN JAMES P Chairman and CEO Aug 01, 2017 Option Exercise 6,373,104
GORMAN JAMES P Chairman and CEO Aug 01, 2017 Sale 10,037,011
PRUZAN JONATHAN Chief Financial Officer Jul 20, 2017 Sale 1,202,834
TRAQUINA PERRY M Director May 22, 2017 Option Exercise 49,990
OLAYAN HUTHAM S Director May 22, 2017 Option Exercise 47,486
GLOCER THOMAS H Director May 22, 2017 Option Exercise 52,494
BOWLES ERSKINE B Director May 22, 2017 Option Exercise 72,481
DARLING ALISTAIR Director May 17, 2017 Option Exercise 33,335
GORMAN JAMES P Chairman and CEO May 10, 2017 Option Exercise 6,373,074
GORMAN JAMES P Chairman and CEO May 10, 2017 Sale 9,117,530
BRODSKY JEFFREY S Chief Human Resources Officer Mar 01, 2017 Option Exercise 759,446
Hotsuki Keishi Chief Risk Officer Mar 01, 2017 Option Exercise 940,254
GROSSMAN ERIC F Chief Legal Officer Mar 01, 2017 Option Exercise 1,157,278
KELLEHER THOMAS COLM President Mar 01, 2017 Option Exercise 3,341,171
GORMAN JAMES P Chairman and CEO Mar 01, 2017 Option Exercise 4,697,662
DARLING ALISTAIR Director Feb 15, 2017 Option Exercise 46
WIRTH PAUL C Deputy Chief Financial Officer Feb 14, 2017 Sale 574,563
KELLEHER THOMAS COLM President Feb 08, 2017 Option Exercise 5,462,630
KELLEHER THOMAS COLM President Feb 08, 2017 Sale 7,976,587
DARLING ALISTAIR Director Feb 01, 2017 Option Exercise 12,495
WIRTH PAUL C Deputy Chief Financial Officer Jan 26, 2017 Sale 442,541
WIRTH PAUL C Deputy Chief Financial Officer Jan 18, 2017 Option Exercise 637,730
BRODSKY JEFFREY S Chief Human Resources Officer Jan 18, 2017 Option Exercise 389,592
BRODSKY JEFFREY S Chief Human Resources Officer Jan 19, 2017 Sale 498,058
Hotsuki Keishi Chief Risk Officer Jan 18, 2017 Option Exercise 562,028
GROSSMAN ERIC F Chief Legal Officer Jan 18, 2017 Option Exercise 766,751
GROSSMAN ERIC F Chief Legal Officer Jan 19, 2017 Sale 739,992
SIMKOWITZ DANIEL A Head of Investment Management Jan 18, 2017 Option Exercise 1,301,887
PRUZAN JONATHAN Chief Financial Officer Jan 18, 2017 Option Exercise 1,061,716
KELLEHER THOMAS COLM President Jan 18, 2017 Option Exercise 1,954,411
GORMAN JAMES P Chairman and CEO Jan 18, 2017 Option Exercise 1,784,125
GORMAN JAMES P Chairman and CEO Jan 19, 2017 Option Exercise 6,545,324
GORMAN JAMES P Chairman and CEO Jan 19, 2017 Sale 12,047,214
GORMAN JAMES P Chairman and CEO Nov 30, 2016 Sale 4,138,100
SIMKOWITZ DANIEL A Head of Investment Management Dec 01, 2016 Option Exercise 3,641,744
SIMKOWITZ DANIEL A Head of Investment Management Dec 01, 2016 Sale 5,102,919
ROSENTHAL JAMES A Chief Operating Officer Nov 18, 2016 Option Exercise 3,641,744
ROSENTHAL JAMES A Chief Operating Officer Nov 18, 2016 Sale 4,485,430
TRAQUINA PERRY M Director Nov 17, 2016 Option Exercise 42,490
OLAYAN HUTHAM S Director Nov 17, 2016 Option Exercise 47,493
GLOCER THOMAS H Director Nov 17, 2016 Option Exercise 52,497
BOWLES ERSKINE B Director Nov 17, 2016 Option Exercise 67,507
WIRTH PAUL C Deputy Chief Financial Officer Nov 14, 2016 Option Exercise 1,820,857
WIRTH PAUL C Deputy Chief Financial Officer Nov 14, 2016 Sale 2,366,380
BRODSKY JEFFREY S Chief Human Resources Officer Nov 14, 2016 Option Exercise 1,820,857
BRODSKY JEFFREY S Chief Human Resources Officer Nov 14, 2016 Sale 2,373,503
GORMAN JAMES P Chairman and CEO Nov 11, 2016 Option Exercise 4,596,000
GORMAN JAMES P Chairman and CEO Nov 11, 2016 Sale 7,540,460
KELLEHER THOMAS COLM President Nov 10, 2016 Option Exercise 5,117,945
KELLEHER THOMAS COLM President Nov 10, 2016 Sale 8,366,420
GROSSMAN ERIC F Chief Legal Officer Nov 11, 2016 Option Exercise 1,820,857
GROSSMAN ERIC F Chief Legal Officer Nov 11, 2016 Sale 2,296,063
SIMKOWITZ DANIEL A Head of Investment Management Nov 10, 2016 Sale 2,257,961
PRUZAN JONATHAN Chief Financial Officer Nov 08, 2016 Sale 1,512,667
ROSENTHAL JAMES A Chief Operating Officer Oct 27, 2016 Option Exercise 1,700,727
ROSENTHAL JAMES A Chief Operating Officer Oct 27, 2016 Sale 2,253,978
GROSSMAN ERIC F Chief Legal Officer Oct 21, 2016 Option Exercise 5,689,158
GROSSMAN ERIC F Chief Legal Officer Oct 21, 2016 Sale 7,322,349
ROSENTHAL JAMES A Chief Operating Officer Oct 20, 2016 Option Exercise 4,596,000
ROSENTHAL JAMES A Chief Operating Officer Oct 20, 2016 Sale 6,207,875
KELLEHER THOMAS COLM President Oct 20, 2016 Option Exercise 5,117,922
KELLEHER THOMAS COLM President Oct 20, 2016 Sale 7,328,026
WIRTH PAUL C Deputy Chief Financial Officer Aug 30, 2016 Sale 600,051
Hotsuki Keishi Chief Risk Officer Aug 17, 2016 Option Exercise 5,305,392
Hotsuki Keishi Chief Risk Officer Aug 17, 2016 Sale 7,458,982
WIRTH PAUL C Deputy Chief Financial Officer Aug 16, 2016 Sale 604,000
Nicolaisen Donald T Director Aug 02, 2016 Sale 92,062
ROSENTHAL JAMES A Chief Operating Officer Jul 25, 2016 Option Exercise 2,298,000
ROSENTHAL JAMES A Chief Operating Officer Jul 25, 2016 Sale 2,657,086
BRODSKY JEFFREY S Chief Human Resources Officer Jul 21, 2016 Sale 574,584
KELLEHER THOMAS COLM President Jul 21, 2016 Option Exercise 587,429
GROSSMAN ERIC F Chief Legal Officer May 25, 2016 Sale 703,871
TRAQUINA PERRY M Director May 17, 2016 Option Exercise 42,491
OLAYAN HUTHAM S Director May 17, 2016 Option Exercise 47,504
Miscik Judith A Director May 17, 2016 Option Exercise 19,002
GLOCER THOMAS H Director May 17, 2016 Option Exercise 52,491
BOWLES ERSKINE B Director May 17, 2016 Option Exercise 62,491
ROSENTHAL JAMES A Chief Operating Officer Feb 26, 2016 Sale 1,256,350
BRODSKY JEFFREY S Chief Human Resources Officer Feb 25, 2016 Option Exercise 576,983
Hotsuki Keishi Chief Risk Officer Feb 25, 2016 Option Exercise 721,234
GROSSMAN ERIC F Chief Legal Officer Feb 25, 2016 Option Exercise 865,486
ROSENTHAL JAMES A Chief Operating Officer Feb 25, 2016 Option Exercise 2,146,940
KELLEHER THOMAS COLM President Feb 25, 2016 Option Exercise 1,972,055
GORMAN JAMES P Chairman and CEO Feb 25, 2016 Option Exercise 2,927,663
WIRTH PAUL C Deputy Chief Financial Officer Jan 20, 2016 Option Exercise 710,149
BRODSKY JEFFREY S Chief Human Resources Officer Jan 20, 2016 Option Exercise 402,566
Hotsuki Keishi Chief Risk Officer Jan 20, 2016 Option Exercise 155,564
GROSSMAN ERIC F Chief Legal Officer Jan 20, 2016 Option Exercise 200,233
ROSENTHAL JAMES A Chief Operating Officer Jan 20, 2016 Option Exercise 247,737
PRUZAN JONATHAN Chief Financial Officer Jan 20, 2016 Option Exercise 1,168,465
KELLEHER THOMAS COLM President Jan 20, 2016 Option Exercise 832,915
GORMAN JAMES P Chairman and CEO Jan 20, 2016 Option Exercise 448,179
TRAQUINA PERRY M Director Nov 19, 2015 Option Exercise 42,513
OLAYAN HUTHAM S Director Nov 19, 2015 Option Exercise 47,506
Miscik Judith A Director Nov 19, 2015 Option Exercise 19,016
GLOCER THOMAS H Director Nov 19, 2015 Option Exercise 52,500
BOWLES ERSKINE B Director Nov 19, 2015 Option Exercise 59,990
ROSENTHAL JAMES A Chief Operating Officer Jul 31, 2015 Sale 471,000
KELLEHER THOMAS COLM President, Inst'l Securities Jul 21, 2015 Option Exercise 622,822
Nicolaisen Donald T Director May 26, 2015 Sale 157,127
OLAYAN HUTHAM S Director May 19, 2015 Option Exercise 42,503
Miscik Judith A Director May 19, 2015 Option Exercise 15,997
GLOCER THOMAS H Director May 19, 2015 Option Exercise 50,849
DAVIES HOWARD J Director May 19, 2015 Option Exercise 185,159
BOWLES ERSKINE B Director May 19, 2015 Option Exercise 57,495
DAVIES HOWARD J Director May 15, 2015 Option Exercise 9,924
DAVIES HOWARD J Director May 13, 2015 Option Exercise 32,434
WIRTH PAUL C Deputy Chief Financial Officer May 11, 2015 Sale 1,513,960
KELLEHER THOMAS COLM President, Inst'l Securities Apr 29, 2015 Sale 1,205,628
ROSENTHAL JAMES A Chief Operating Officer Apr 21, 2015 Sale 1,856,113
GROSSMAN ERIC F Chief Legal Officer Apr 21, 2015 Sale 1,279,314
WIRTH PAUL C Deputy Chief Financial Officer Mar 02, 2015 Option Exercise 421,177
Hotsuki Keishi Chief Risk Officer Mar 02, 2015 Option Exercise 945,930
GROSSMAN ERIC F Chief Legal Officer Mar 02, 2015 Option Exercise 367,205
ROSENTHAL JAMES A Chief Operating Officer Mar 02, 2015 Option Exercise 1,694,943
Porat Ruth Chief Financial Officer Mar 02, 2015 Option Exercise 1,870,278
KELLEHER THOMAS COLM President, Inst'l Securities Mar 02, 2015 Option Exercise 1,666,132
FLEMING GREGORY J President-Wealth & Invest Mgt Mar 02, 2015 Option Exercise 1,835,884
GORMAN JAMES P Chairman and CEO Mar 02, 2015 Option Exercise 2,267,726
WIRTH PAUL C Deputy Chief Financial Officer Jan 21, 2015 Option Exercise 1,123,780
WIRTH PAUL C Deputy Chief Financial Officer Dec 04, 2014 Option Exercise 52,195
WIRTH PAUL C Deputy Chief Financial Officer Jan 23, 2015 Sale 762,189
Hotsuki Keishi Chief Risk Officer Jan 21, 2015 Option Exercise 1,032,006
GROSSMAN ERIC F Chief Legal Officer Jan 21, 2015 Option Exercise 714,460
ROSENTHAL JAMES A Chief Operating Officer Jan 21, 2015 Option Exercise 1,825,522
Porat Ruth Chief Financial Officer Jan 21, 2015 Option Exercise 2,549,469
KELLEHER THOMAS COLM President, Inst'l Securities Jan 21, 2015 Option Exercise 1,490,879
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 21, 2015 Option Exercise 2,094,348
GORMAN JAMES P Chairman and CEO Jan 21, 2015 Option Exercise 3,287,802
TYSON LAURA D Director Nov 26, 2014 Sale 882,435
DAVIES HOWARD J Director Nov 15, 2014 Option Exercise 15,061
OLAYAN HUTHAM S Director Nov 13, 2014 Option Exercise 42,500
GLOCER THOMAS H Director Nov 13, 2014 Option Exercise 45,006
BOWLES ERSKINE B Director Nov 13, 2014 Option Exercise 57,502
SEXTON O GRIFFITH Director Nov 01, 2014 Option Exercise 42,499
GROSSMAN ERIC F Chief Legal Officer Aug 25, 2014 Option Exercise 1,252,410
GROSSMAN ERIC F Chief Legal Officer Aug 25, 2014 Sale 1,868,723
WIRTH PAUL C Deputy Chief Financial Officer Aug 25, 2014 Sale 344,400
GROSSMAN ERIC F Chief Legal Officer Jul 23, 2014 Option Exercise 804,300
GROSSMAN ERIC F Chief Legal Officer Jul 23, 2014 Sale 1,151,395
FLEMING GREGORY J President-Wealth & Invest Mgt Jul 22, 2014 Option Exercise 2,298,000
FLEMING GREGORY J President-Wealth & Invest Mgt Jul 22, 2014 Sale 3,301,730
KELLEHER THOMAS COLM President, Inst'l Securities Jul 21, 2014 Option Exercise 89,471
ROSENTHAL JAMES A Chief Operating Officer Jul 18, 2014 Sale 1,001,000
DAVIES HOWARD J Director May 15, 2014 Option Exercise 7,748
DAVIES HOWARD J Director May 14, 2014 Option Exercise 32,485
SEXTON O GRIFFITH Director May 13, 2014 Option Exercise 42,494
OLAYAN HUTHAM S Director May 13, 2014 Option Exercise 42,494
Herz Robert H Director Feb 05, 2014 Option Exercise 58
Herz Robert H Director Jan 22, 2014 Option Exercise 1,476
GLOCER THOMAS H Director May 13, 2014 Option Exercise 42,494
BOWLES ERSKINE B Director May 13, 2014 Option Exercise 52,501
Hotsuki Keishi Chief Risk Officer May 09, 2014 Sale 104,081
Hotsuki Keishi Chief Risk Officer May 08, 2014 Sale 912,662
DAVIES HOWARD J Director May 01, 2014 Sale 374,040
ROSENTHAL JAMES A Chief Operating Officer Feb 12, 2014 Sale 1,010,896
WIRTH PAUL C Deputy Chief Financial Officer Feb 11, 2014 Sale 755,000
GROSSMAN ERIC F Chief Legal Officer Feb 05, 2014 Option Exercise 45,871
GROSSMAN ERIC F Chief Legal Officer Feb 05, 2014 Sale 845,404
WIRTH PAUL C Deputy Chief Financial Officer Jan 28, 2014 Option Exercise 252,204
WIRTH PAUL C Deputy Chief Financial Officer Jan 27, 2014 Option Exercise 915,287
Hotsuki Keishi Chief Risk Officer Jan 28, 2014 Option Exercise 297,211
Hotsuki Keishi Chief Risk Officer Jan 27, 2014 Option Exercise 625,689
GROSSMAN ERIC F Chief Legal Officer Jan 28, 2014 Option Exercise 634,663
ROSENTHAL JAMES A Chief Operating Officer Jan 28, 2014 Option Exercise 1,038,141
ROSENTHAL JAMES A Chief Operating Officer Jan 27, 2014 Option Exercise 1,167,851
Porat Ruth Chief Financial Officer Jan 27, 2014 Option Exercise 2,752,407
Porat Ruth Chief Financial Officer Jan 28, 2014 Option Exercise 647,466
KELLEHER THOMAS COLM President, Inst'l Securities Jan 28, 2014 Option Exercise 603,688
KELLEHER THOMAS COLM President, Inst'l Securities Jan 27, 2014 Option Exercise 1,575,426
KELLEHER THOMAS COLM President, Inst'l Securities Jan 29, 2014 Sale 256,361
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 28, 2014 Option Exercise 565,847
FLEMING GREGORY J President-Wealth & Invest Mgt Jan 27, 2014 Option Exercise 2,164,172
GORMAN JAMES P Chairman and CEO Jan 28, 2014 Option Exercise 678,980
GORMAN JAMES P Chairman and CEO Jan 27, 2014 Option Exercise 3,212,453
DAVIES HOWARD J Director Nov 15, 2013 Option Exercise 12,631
Nicolaisen Donald T Director Nov 15, 2013 Sale 142,679
ROSENTHAL JAMES A Chief Operating Officer Jul 31, 2013 Sale 351,062
DAVIES HOWARD J Director May 15, 2013 Option Exercise 20,131
SEXTON O GRIFFITH Director May 14, 2013 Option Exercise 46,670
OLAYAN HUTHAM S Director May 14, 2013 Option Exercise 42,496
BOWLES ERSKINE B Director May 14, 2013 Option Exercise 47,495
Hotsuki Keishi Chief Risk Officer Feb 13, 2013 Sale 547,641
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 08, 2013 Option Exercise 1,296,489
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 12, 2013 Option Exercise 699,456
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 12, 2013 Option Exercise 699,456
WIRTH PAUL C Deputy CFO/Controller Feb 07, 2013 Sale 456,328
WIRTH PAUL C Deputy CFO/Controller Feb 08, 2013 Sale 401,455
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 30, 2013 Option Exercise 192,916
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 05, 2013 Option Exercise 156,310
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 28, 2013 Option Exercise 277,252
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 07, 2013 Option Exercise 665,566
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 30, 2013 Option Exercise 192,916
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 07, 2013 Option Exercise 665,566
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 06, 2013 Option Exercise 429,409
FLEMING GREGORY J President, GWM/Investment Mgt. Jan 28, 2013 Option Exercise 277,252
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 06, 2013 Option Exercise 429,409
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 05, 2013 Option Exercise 156,310
WIRTH PAUL C Deputy CFO/Controller Feb 01, 2013 Option Exercise 648,078
ROSENTHAL JAMES A Chief Operating Officer Feb 01, 2013 Option Exercise 725,663
KELLEHER THOMAS COLM President, Inst'l Securities Feb 01, 2013 Option Exercise 1,822,811
KELLEHER THOMAS COLM President, Inst'l Securities Feb 04, 2013 Sale 1,338,942
Hotsuki Keishi Chief Risk Officer Feb 01, 2013 Option Exercise 318,772
GROSSMAN ERIC F Chief Legal Officer Feb 01, 2013 Option Exercise 192,912
GROSSMAN ERIC F Chief Legal Officer Feb 04, 2013 Sale 316,397
FLEMING GREGORY J President, GWM/Investment Mgt. Feb 01, 2013 Option Exercise 551,155
Porat Ruth Chief Financial Officer Feb 01, 2013 Option Exercise 1,318,950
GORMAN JAMES P Chairman and CEO Feb 01, 2013 Option Exercise 1,906,469
WIRTH PAUL C Deputy CFO/Controller Jan 22, 2013 Option Exercise 15,511
WIRTH PAUL C Deputy CFO/Controller Jan 22, 2013 Sale 854,901
Hotsuki Keishi Chief Risk Officer Jan 22, 2013 Sale 842,112
KELLEHER THOMAS COLM President, Inst'l Securities Jan 22, 2013 Sale 1,188,972
SEXTON O GRIFFITH Director Nov 15, 2012 Option Exercise 46,665
OLAYAN HUTHAM S Director Nov 15, 2012 Option Exercise 42,507
BOWLES ERSKINE B Director Nov 15, 2012 Option Exercise 47,494
DAVIES HOWARD J Director Nov 01, 2012 Option Exercise 7,183
DAVIES HOWARD J Director May 18, 2012 Option Exercise 12,565
SEXTON O GRIFFITH Director May 15, 2012 Option Exercise 42,501
OLAYAN HUTHAM S Director May 15, 2012 Option Exercise 42,501
BOWLES ERSKINE B Director May 15, 2012 Option Exercise 47,501
ROSENTHAL JAMES A Chief Operating Officer Mar 05, 2012 Option Exercise 335,432
FLEMING GREGORY J President-Asset Mgt/GWM Feb 08, 2012 Option Exercise 936,089
WIRTH PAUL C Deputy CFO/Controller Jan 20, 2012 Option Exercise 425,856
Taubman Paul J Co-President-Inst'l Securities Jan 20, 2012 Option Exercise 685,226
ROSENTHAL JAMES A Chief Operating Officer Jan 20, 2012 Option Exercise 380,846
GROSSMAN ERIC F Chief Legal Officer Jan 20, 2012 Option Exercise 133,273
GROSSMAN ERIC F Chief Legal Officer Jan 23, 2012 Sale 227,366
Porat Ruth Chief Financial Officer Jan 20, 2012 Option Exercise 615,844
Hotsuki Keishi Chief Risk Officer Jan 20, 2012 Option Exercise 204,013
KELLEHER THOMAS COLM Co-President-Inst'l Securities Jan 20, 2012 Option Exercise 489,512
GORMAN JAMES P Chairman of the Board and CEO Jan 20, 2012 Option Exercise 764,555
Taubman Paul J Co-President-Inst'l Securities Jan 03, 2012 Option Exercise 321,424
Porat Ruth Chief Financial Officer Jan 03, 2012 Option Exercise 192,864
SEXTON O GRIFFITH Director Nov 18, 2011 Option Exercise 42,497
OLAYAN HUTHAM S Director Nov 18, 2011 Option Exercise 42,497
BOWLES ERSKINE B Director Nov 18, 2011 Option Exercise 47,496
DAVIES HOWARD J Director Nov 01, 2011 Option Exercise 6,592
MITSUBISHI UFJ FINANCIAL GROUP INC 10% Owner Jun 30, 2011 Option Exercise 7,840,339,792
OLAYAN HUTHAM S Director Aug 05, 2011 Buy 100,000
Taubman Paul J Co-President-Inst'l Securities Aug 04, 2011 Buy 1,019,235
Porat Ruth Chief Financial Officer Aug 04, 2011 Buy 512,500
GORMAN JAMES P President and CEO Aug 04, 2011 Buy 2,062,070
OWENS JAMES W Director Aug 02, 2011 Buy 110,200
ROSENTHAL JAMES A Chief Operating Officer Jul 22, 2011 Sale 189,785
ROSENTHAL JAMES A Chief Operating Officer May 20, 2011 Option Exercise 851,709
Hotsuki Keishi Chief Risk Officer May 20, 2011 Option Exercise 296,786
SEXTON O GRIFFITH Director May 18, 2011 Option Exercise 45,006
OLAYAN HUTHAM S Director May 18, 2011 Option Exercise 42,494
DAVIES HOWARD J Director May 18, 2011 Option Exercise 18,271
BOWLES ERSKINE B Director May 18, 2011 Option Exercise 47,494
ROSENTHAL JAMES A Chief Operating Officer Feb 15, 2011 Option Exercise 39,750
Porat Ruth Chief Financial Officer Feb 14, 2011 Option Exercise 16,519
WIRTH PAUL C Finance Director/Controller Feb 09, 2011 Option Exercise 29,990
FLEMING GREGORY J President-Asset Mgt/GWM Feb 08, 2011 Option Exercise 1,555,625
WIRTH PAUL C Finance Director/Controller Feb 07, 2011 Sale 538,934
KELLEHER THOMAS COLM Co-President Inst'l Securities Feb 07, 2011 Sale 1,504,076
WIRTH PAUL C Finance Director/Controller Jan 21, 2011 Option Exercise 337,437
Porat Ruth Chief Financial Officer Jan 21, 2011 Option Exercise 1,202,248
KELLEHER THOMAS COLM Co-President-Inst'l Securities Jan 21, 2011 Option Exercise 661,414
Porat Ruth Chief Financial Officer Jan 03, 2011 Option Exercise 339,102
SEXTON O GRIFFITH Director Nov 18, 2010 Option Exercise 45,004
SEXTON O GRIFFITH Director Nov 18, 2010 Option Exercise 45,004
OLAYAN HUTHAM S Director Nov 18, 2010 Option Exercise 42,501
OLAYAN HUTHAM S Director Nov 18, 2010 Option Exercise 42,501
BOWLES ERSKINE B Director Nov 18, 2010 Option Exercise 47,507
BOWLES ERSKINE B Director Nov 18, 2010 Option Exercise 47,507
DAVIES HOWARD J Director Nov 01, 2010 Option Exercise 9,990
DAVIES HOWARD J Director Nov 01, 2010 Option Exercise 9,990
MACK JOHN J Chairman of the Board Oct 21, 2010 Option Exercise 718,165
MACK JOHN J Chairman of the Board Oct 21, 2010 Option Exercise 718,165
NIDES THOMAS R Chief Operating Officer Oct 07, 2010 Option Exercise 716,630
MACK JOHN J Chairman of the Board Oct 07, 2010 Option Exercise 2,692,044
MACK JOHN J Chairman of the Board Oct 07, 2010 Option Exercise 2,692,044
CHAMMAH WALID A Chairman/CEO of MS Int'l Oct 07, 2010 Option Exercise 2,096,538
NIDES THOMAS R Chief Operating Officer Sep 01, 2010 Option Exercise 255,571
CHINA INVESTMENT CORP 10% Owner Aug 09, 2010 Sale 43,872,000
CHINA INVESTMENT CORP 10% Owner Aug 03, 2010 Sale 36,051,201
CHINA INVESTMENT CORP 10% Owner Aug 02, 2010 Sale 55,099,998
CHINA INVESTMENT CORP 10% Owner Jul 30, 2010 Sale 90,514,001
CHINA INVESTMENT CORP 10% Owner Jul 29, 2010 Sale 70,434,000
CHINA INVESTMENT CORP 10% Owner Jul 26, 2010 Sale 74,360,003
CHINA INVESTMENT CORP 10% Owner Jul 23, 2010 Sale 50,718,749
CHINA INVESTMENT CORP 10% Owner Jul 21, 2010 Sale 122,944,250
CHINA INVESTMENT CORP 10% Owner Jul 22, 2010 Sale 15,599,750