Morgan Stanley. (MS) NEW YORK STOCK EXCHANGE INC.
$90.26 0.18 (0.20%)
Market Cap: $146.82B
As of 04/18/24 04:00 PM EDT. Market closed.
Morgan Stanley. (MS)
NEW YORK STOCK EXCHANGE INC.
$90.26
0.18 (0.20%)
Market Cap: $146.82B
As of 04/18/24 04:00 PM EDT. Market closed.
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Morgan Stanley is an American multinational investment bank and financial services company headquartered at 1585 Broadway in Midtown Manhattan, New York City. With offices in 41 countries and more than 75,000 employees, the firms clients include corporations, governments, institutions, and ... read more
Morgan Stanley is an American multinational investment bank and financial services company headquartered at 1585 Broadway in Midtown Manhattan, New York City. With offices in 41 countries and more than 75,000 employees, the firms clients include corporations, governments, institutions, and individuals. read less
COMPANY PROFILE
Sector
Industry
CEO
James Gorman
Full Time Employees
82,000
CEO Compensation (Base)
$1.50M
CEO Compensation (Total)
$28.17M
Sector
Industry
CEO
James Gorman
Full Time Employees
82,000
CEO Compensation (Base)
$1.50M
CEO Compensation (Total)
$28.17M
Address
1585 Broadway, New York, New York, 10036-8200.
PRICE CHART FOR MORGAN STANLEY
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INSIDEARBITRAGE ARTICLES
KEY STATS
Open
$90.59
Previous Close
$90.08
Days Range
$89.74 - $91.11
52 week range
$68.67 - $94.74
Volume
5,102,481
Avg. Volume (30 days)
8,294,710
Market Cap
$146.82B
Dividend Yield
3.63%
P/E
17.21
Shares Outstanding
1,626,632,188
Open
$90.59
Previous Close
$90.08
Days Range
$89.74 - $91.11
52 week range
$68.67 - $94.74
Volume
5,102,481
Avg. Volume (30 days)
8,294,710
Market Cap
$146.82B
Dividend Yield
3.63%
P/E
17.21
Shares Outstanding
1,626,632,188
FINANCIAL STATEMENTS FOR MORGAN STANLEY
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INSIDER TRANSACTIONS FOR MORGAN STANLEY
| Owner | Relationship | Date | Transaction | Cost | # Shares | Value($) | Total Shares | Form 4 |
| SIMKOWITZ DANIEL A | Co-President | Feb 22, 2024 | Option Exercise | $85.46 | 41,513 | 3,547,701 | 499,692 | Feb 23, 2024, 04:20 PM |
| SAPERSTEIN ANDREW M | Co-President | Feb 22, 2024 | Option Exercise | $85.46 | 38,323 | 3,275,084 | 326,427 | Feb 23, 2024, 04:19 PM |
| PICK EDWARD N | Chief Executive Officer | Feb 22, 2024 | Option Exercise | $85.46 | 84,078 | 7,185,306 | 598,604 | Feb 23, 2024, 04:18 PM |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | Feb 22, 2024 | Option Exercise | $85.46 | 22,315 | 1,907,040 | 257,552 | Feb 23, 2024, 04:17 PM |
| GORMAN JAMES P | Executive Chairman | Feb 22, 2024 | Option Exercise | $85.46 | 165,527 | 14,145,937 | 514,870 | Feb 23, 2024, 04:16 PM |
| SAPERSTEIN ANDREW M | Co-President | Feb 12, 2024 | Sale | $87.19 | 26,655 | 2,324,092 | 286,835 | Feb 14, 2024, 04:19 PM |
| GORMAN JAMES P | Executive Chairman | Feb 12, 2024 | Sale | $87.30 | 100,000 | 8,730,220 | 350,000 | Feb 14, 2024, 04:19 PM |
| SAPERSTEIN ANDREW M | Co-President | Jan 30, 2024 | Sale | $87.92 | 10,000 | 879,170 | 313,490 | Feb 01, 2024, 04:22 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | Jan 30, 2024 | Sale | $87.41 | 4,500 | 393,346 | 93,134 | Feb 01, 2024, 04:21 PM |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | Jan 31, 2024 | Sale | $88.55 | 26,562 | 2,352,001 | 234,627 | Feb 01, 2024, 04:20 PM |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | Jan 30, 2024 | Sale | $87.81 | 26,563 | 2,332,595 | 261,189 | Feb 01, 2024, 04:20 PM |
| GORMAN JAMES P | Executive Chairman | Jan 26, 2024 | Sale | $87.93 | 50,000 | 4,396,400 | 379,701 | Jan 26, 2024, 04:36 PM |
| GORMAN JAMES P | Executive Chairman | Jan 25, 2024 | Sale | $87.93 | 50,000 | 4,396,435 | 400,000 | Jan 25, 2024, 04:03 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | Jan 17, 2024 | Option Exercise | $85.97 | 10,180 | 875,175 | 104,634 | Jan 19, 2024, 04:22 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | Jan 18, 2024 | Sale | $83.56 | 7,000 | 584,928 | 97,634 | Jan 19, 2024, 04:22 PM |
| YESHAYA SHARON | Chief Financial Officer | Jan 17, 2024 | Option Exercise | $85.97 | 4,169 | 358,409 | 113,534 | Jan 19, 2024, 04:18 PM |
| Smith Charles Aubrey III | Chief Risk Officer | Jan 17, 2024 | Option Exercise | $85.97 | 21,667 | 1,862,712 | 136,246 | Jan 19, 2024, 04:17 PM |
| SIMKOWITZ DANIEL A | Co-President | Jan 17, 2024 | Option Exercise | $85.97 | 44,691 | 3,842,085 | 462,848 | Jan 19, 2024, 04:16 PM |
| SAPERSTEIN ANDREW M | Co-President | Jan 17, 2024 | Option Exercise | $85.97 | 40,964 | 3,521,675 | 333,490 | Jan 19, 2024, 04:15 PM |
| SAPERSTEIN ANDREW M | Co-President | Jan 19, 2024 | Sale | $84.13 | 10,000 | 841,344 | 323,490 | Jan 19, 2024, 04:15 PM |
| PICK EDWARD N | Chief Executive Officer | Jan 17, 2024 | Option Exercise | $85.97 | 61,171 | 5,258,871 | 538,091 | Jan 19, 2024, 04:14 PM |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | Jan 17, 2024 | Option Exercise | $85.97 | 27,233 | 2,341,221 | 287,624 | Jan 19, 2024, 04:13 PM |
| CRAWLEY MANDELL | Chief Human Resources Officer | Jan 17, 2024 | Option Exercise | $85.97 | 6,084 | 523,041 | 52,705 | Jan 19, 2024, 04:12 PM |
| GORMAN JAMES P | Executive Chairman | Jan 17, 2024 | Option Exercise | $85.97 | 43,040 | 3,700,149 | 584,701 | Jan 19, 2024, 04:11 PM |
| TRAQUINA PERRY M | Director | Dec 01, 2023 | Option Exercise | $80.20 | 873 | 70,019 | 76,513 | Dec 04, 2023, 05:02 PM |
| LUCZO STEPHEN J | Director | Dec 01, 2023 | Option Exercise | $80.20 | 623 | 49,967 | 14,263 | Dec 04, 2023, 05:02 PM |
| GLOCER THOMAS H | Director | Dec 01, 2023 | Option Exercise | $80.20 | 1,247 | 100,015 | 106,670 | Dec 04, 2023, 05:01 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Nov 14, 2023 | Option Exercise | $78.31 | 1,238 | 96,948 | 0 | Nov 16, 2023, 04:12 PM |
| PICK EDWARD N | Co-President/Head of IS | Jul 24, 2023 | Sale | $94.33 | 100,000 | 9,433,050 | 604,845 | Jul 26, 2023, 04:14 PM |
| GORMAN JAMES P | Chairman and CEO | Jul 24, 2023 | Sale | $95.19 | 125,000 | 11,898,812 | 1,011,345 | Jul 26, 2023, 04:11 PM |
| Smith Charles Aubrey III | Chief Risk Officer | Jul 19, 2023 | Option Exercise | $91.94 | 5,949 | 546,951 | 130,564 | Jul 21, 2023, 04:20 PM |
| Smith Charles Aubrey III | Chief Risk Officer | Jul 19, 2023 | Sale | $92.41 | 5,600 | 517,520 | 136,513 | Jul 21, 2023, 04:20 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jul 20, 2023 | Sale | $93.78 | 37,608 | 3,526,852 | 319,040 | Jul 21, 2023, 04:18 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Jul 19, 2023 | Sale | $93.09 | 39,254 | 3,654,280 | 193,708 | Jul 21, 2023, 04:16 PM |
| GORMAN JAMES P | Chairman and CEO | Jul 19, 2023 | Sale | $92.35 | 125,000 | 11,543,286 | 1,198,845 | Jul 21, 2023, 04:13 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | Jul 19, 2023 | Sale | $92.00 | 13,500 | 1,242,000 | 82,984 | Jul 21, 2023, 04:11 PM |
| TRAQUINA PERRY M | Director | Jun 01, 2023 | Option Exercise | $82.08 | 853 | 70,010 | 74,109 | Jun 02, 2023, 04:26 PM |
| SCHAPIRO MARY L | Director | Jun 01, 2023 | Option Exercise | $82.08 | 609 | 49,984 | 31,866 | Jun 02, 2023, 04:25 PM |
| LUCZO STEPHEN J | Director | Jun 01, 2023 | Option Exercise | $82.08 | 609 | 49,984 | 13,363 | Jun 02, 2023, 04:23 PM |
| GLOCER THOMAS H | Director | Jun 01, 2023 | Option Exercise | $82.08 | 1,218 | 99,968 | 103,375 | Jun 02, 2023, 04:20 PM |
| DARLING ALISTAIR | Director | Jun 01, 2023 | Option Exercise | $82.08 | 269 | 22,078 | 37,783 | Jun 02, 2023, 04:20 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | May 15, 2023 | Sale | $82.95 | 7,320 | 607,198 | 96,484 | May 17, 2023, 04:08 PM |
| GLOCER THOMAS H | Director | May 03, 2023 | Sale | $87.11 | 4,535 | 395,021 | 98,110 | May 05, 2023, 04:16 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | May 01, 2023 | Option Exercise | $89.97 | 16,321 | 1,468,400 | 103,148 | May 03, 2023, 04:44 PM |
| LUCZO STEPHEN J | Director | Apr 21, 2023 | Option Exercise | $90.25 | 34,000 | 3,068,670 | 146,840 | Apr 25, 2023, 04:10 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Feb 24, 2023 | Option Exercise | $97.94 | 46,530 | 4,557,148 | 354,604 | Feb 24, 2023, 04:33 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Feb 24, 2023 | Option Exercise | $97.94 | 40,940 | 4,009,664 | 231,166 | Feb 24, 2023, 04:32 PM |
| PICK EDWARD N | Co-President/Head of IS | Feb 24, 2023 | Option Exercise | $97.94 | 76,338 | 7,476,544 | 702,504 | Feb 24, 2023, 04:31 PM |
| Hotsuki Keishi | Chief Risk Officer | Feb 24, 2023 | Option Exercise | $97.94 | 20,940 | 2,050,864 | 339,211 | Feb 24, 2023, 04:30 PM |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | Feb 24, 2023 | Option Exercise | $97.94 | 26,176 | 2,563,678 | 261,564 | Feb 24, 2023, 04:26 PM |
| GORMAN JAMES P | Chairman and CEO | Feb 24, 2023 | Option Exercise | $97.94 | 185,388 | 18,156,901 | 1,261,841 | Feb 24, 2023, 04:25 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Feb 13, 2023 | Sale | $98.45 | 46,226 | 4,550,950 | 0 | Feb 15, 2023, 04:35 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Feb 13, 2023 | Sale | $98.23 | 24,556 | 2,412,099 | 190,440 | Feb 15, 2023, 04:35 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jan 31, 2023 | Sale | $96.54 | 8,077 | 779,726 | 315,321 | Feb 01, 2023, 04:37 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jan 30, 2023 | Sale | $96.20 | 15,133 | 1,455,861 | 323,398 | Feb 01, 2023, 04:37 PM |
| DARLING ALISTAIR | Director | Jan 25, 2023 | Sale | $94.70 | 2,000 | 189,410 | 34,465 | Jan 27, 2023, 04:15 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | Jan 18, 2023 | Option Exercise | $97.08 | 9,940 | 964,975 | 123,658 | Jan 20, 2023, 04:30 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | Jan 18, 2023 | Sale | $97.00 | 5,100 | 494,700 | 118,558 | Jan 20, 2023, 04:30 PM |
| YESHAYA SHARON | Chief Financial Officer | Jan 18, 2023 | Option Exercise | $97.08 | 2,410 | 233,963 | 69,185 | Jan 20, 2023, 04:29 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jan 18, 2023 | Option Exercise | $97.08 | 22,837 | 2,217,016 | 393,441 | Jan 20, 2023, 04:28 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jan 18, 2023 | Sale | $97.05 | 44,910 | 4,358,353 | 354,203 | Jan 20, 2023, 04:28 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Jan 18, 2023 | Option Exercise | $97.08 | 20,301 | 1,970,821 | 214,996 | Jan 20, 2023, 04:27 PM |
| PRUZAN JONATHAN | Chief Operating Officer | Jan 18, 2023 | Option Exercise | $97.08 | 20,316 | 1,972,277 | 406,985 | Jan 20, 2023, 04:26 PM |
| PICK EDWARD N | Co-President/Head of IS | Jan 18, 2023 | Option Exercise | $97.08 | 30,024 | 2,914,730 | 774,965 | Jan 20, 2023, 04:25 PM |
| PICK EDWARD N | Co-President/Head of IS | Jan 18, 2023 | Sale | $96.98 | 135,000 | 13,092,566 | 665,211 | Jan 20, 2023, 04:25 PM |
| Hotsuki Keishi | Chief Risk Officer | Jan 18, 2023 | Option Exercise | $97.08 | 11,651 | 1,131,079 | 318,347 | Jan 20, 2023, 04:24 PM |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | Jan 18, 2023 | Option Exercise | $97.08 | 15,721 | 1,526,195 | 355,234 | Jan 20, 2023, 04:22 PM |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | Jan 18, 2023 | Sale | $97.11 | 120,000 | 11,653,788 | 235,234 | Jan 20, 2023, 04:22 PM |
| CRAWLEY MANDELL | Chief Human Resources Officer | Jan 18, 2023 | Option Exercise | $97.08 | 4,090 | 397,057 | 45,911 | Jan 20, 2023, 04:21 PM |
| CRAWLEY MANDELL | Chief Human Resources Officer | Jan 19, 2023 | Sale | $93.75 | 3,740 | 350,625 | 42,171 | Jan 20, 2023, 04:21 PM |
| GORMAN JAMES P | Chairman and CEO | Jan 18, 2023 | Option Exercise | $97.08 | 60,018 | 5,826,548 | 1,362,348 | Jan 20, 2023, 04:20 PM |
| GORMAN JAMES P | Chairman and CEO | Jan 18, 2023 | Sale | $96.93 | 250,000 | 24,233,637 | 1,147,019 | Jan 20, 2023, 04:20 PM |
| TRAQUINA PERRY M | Director | Dec 01, 2022 | Option Exercise | $92.81 | 727 | 67,475 | 68,906 | Dec 02, 2022, 04:07 PM |
| SCHAPIRO MARY L | Director | Dec 01, 2022 | Option Exercise | $92.81 | 512 | 47,520 | 27,669 | Dec 02, 2022, 04:06 PM |
| LUCZO STEPHEN J | Director | Dec 01, 2022 | Option Exercise | $92.81 | 593 | 55,038 | 10,922 | Dec 02, 2022, 04:05 PM |
| GLOCER THOMAS H | Director | Dec 01, 2022 | Option Exercise | $92.81 | 862 | 80,005 | 101,925 | Dec 02, 2022, 04:04 PM |
| TRAQUINA PERRY M | Director | Jun 01, 2022 | Option Exercise | $84.90 | 795 | 67,496 | 67,035 | Jun 03, 2022, 04:14 PM |
| LUCZO STEPHEN J | Director | Jun 01, 2022 | Option Exercise | $84.90 | 648 | 55,016 | 10,156 | Jun 03, 2022, 04:10 PM |
| GLOCER THOMAS H | Director | Jun 01, 2022 | Option Exercise | $84.90 | 942 | 79,977 | 99,516 | Jun 03, 2022, 04:06 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | May 13, 2022 | Option Exercise | $80.63 | 137 | 11,047 | 108,636 | May 17, 2022, 04:19 PM |
| LUCZO STEPHEN J | Director | May 12, 2022 | Buy | $79.30 | 25,000 | 1,982,425 | 179,449 | May 13, 2022, 04:16 PM |
| AKRAM RAJA | Deputy Chief Financial Officer | May 01, 2022 | Option Exercise | $80.59 | 15,785 | 1,272,113 | 107,702 | May 03, 2022, 04:09 PM |
| CORLEY ELIZABETH | Director | Apr 21, 2022 | Option Exercise | $90.39 | 438 | 39,591 | 29,144 | Apr 25, 2022, 04:09 PM |
| CORLEY ELIZABETH | Director | Apr 21, 2022 | Option Exercise | $90.39 | 2,315 | 209,254 | 26,599 | Apr 25, 2022, 04:09 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Feb 24, 2022 | Option Exercise | $93.55 | 55,564 | 5,198,012 | 349,220 | Feb 25, 2022, 04:27 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Feb 24, 2022 | Option Exercise | $93.55 | 45,986 | 4,301,990 | 224,706 | Feb 25, 2022, 04:25 PM |
| PRUZAN JONATHAN | Chief Operating Officer | Feb 24, 2022 | Option Exercise | $93.55 | 55,564 | 5,198,012 | 333,692 | Feb 25, 2022, 04:24 PM |
| PICK EDWARD N | Co-President/Head of IS | Feb 24, 2022 | Option Exercise | $93.55 | 122,142 | 11,426,384 | 745,526 | Feb 25, 2022, 04:22 PM |
| Hotsuki Keishi | Chief Risk Officer | Feb 24, 2022 | Option Exercise | $93.55 | 30,068 | 2,812,861 | 300,485 | Feb 25, 2022, 04:21 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Feb 24, 2022 | Option Exercise | $93.55 | 38,028 | 3,557,520 | 326,840 | Feb 25, 2022, 04:20 PM |
| GORMAN JAMES P | Chairman and CEO | Feb 24, 2022 | Option Exercise | $93.55 | 263,442 | 24,645,000 | 1,370,961 | Feb 25, 2022, 04:13 PM |
| GORMAN JAMES P | Chairman and CEO | Feb 09, 2022 | Option Exercise | $108.73 | 24,575 | 2,672,040 | 1,161,274 | Feb 11, 2022, 04:09 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Feb 08, 2022 | Sale | $105.70 | 17,162 | 1,814,006 | 179,414 | Feb 09, 2022, 04:16 PM |
| Hotsuki Keishi | Chief Risk Officer | Feb 07, 2022 | Sale | $105.00 | 24,500 | 2,572,500 | 270,986 | Feb 09, 2022, 04:14 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jan 31, 2022 | Sale | $102.56 | 18,414 | 1,888,521 | 302,996 | Feb 02, 2022, 04:12 PM |
| PRUZAN JONATHAN | Chief Operating Officer | Jan 26, 2022 | Sale | $101.05 | 18,414 | 1,860,698 | 287,602 | Jan 28, 2022, 04:17 PM |
| YESHAYA SHARON | Chief Financial Officer | Jan 20, 2022 | Option Exercise | $95.73 | 2,760 | 264,215 | 46,042 | Jan 21, 2022, 04:26 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jan 20, 2022 | Option Exercise | $95.73 | 17,394 | 1,665,128 | 321,410 | Jan 21, 2022, 04:25 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Jan 20, 2022 | Option Exercise | $95.73 | 15,262 | 1,461,031 | 212,047 | Jan 21, 2022, 04:24 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Jan 20, 2022 | Sale | $96.80 | 15,471 | 1,497,593 | 196,576 | Jan 21, 2022, 04:24 PM |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Jan 20, 2022 | Option Exercise | $95.73 | 18,507 | 1,771,675 | 253,946 | Jan 21, 2022, 04:23 PM |
| PRUZAN JONATHAN | Chief Operating Officer | Jan 20, 2022 | Option Exercise | $95.73 | 17,394 | 1,665,128 | 306,016 | Jan 21, 2022, 04:22 PM |
| PICK EDWARD N | Co-President/Head of IS | Jan 20, 2022 | Option Exercise | $95.73 | 16,565 | 1,585,768 | 645,186 | Jan 21, 2022, 04:20 PM |
| Hotsuki Keishi | Chief Risk Officer | Jan 20, 2022 | Option Exercise | $95.73 | 11,299 | 1,081,653 | 295,486 | Jan 21, 2022, 04:18 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Jan 20, 2022 | Option Exercise | $95.73 | 14,348 | 1,373,534 | 322,685 | Jan 21, 2022, 04:17 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Jan 20, 2022 | Sale | $101.63 | 33,209 | 3,375,130 | 289,476 | Jan 21, 2022, 04:17 PM |
| CRAWLEY MANDELL | Chief Human Resources Officer | Jan 20, 2022 | Option Exercise | $95.73 | 4,043 | 387,036 | 43,783 | Jan 21, 2022, 04:16 PM |
| CRAWLEY MANDELL | Chief Human Resources Officer | Jan 21, 2022 | Sale | $98.57 | 7,475 | 736,812 | 43,083 | Jan 21, 2022, 04:16 PM |
| GORMAN JAMES P | Chairman and CEO | Jan 20, 2022 | Option Exercise | $95.73 | 75,138 | 7,192,961 | 1,136,699 | Jan 21, 2022, 04:14 PM |
| TRAQUINA PERRY M | Director | Dec 01, 2021 | Option Exercise | $96.92 | 696 | 67,454 | 62,329 | Dec 03, 2021, 04:26 PM |
| LUCZO STEPHEN J | Director | Dec 01, 2021 | Option Exercise | $96.92 | 567 | 54,952 | 7,834 | Dec 03, 2021, 04:25 PM |
| GLOCER THOMAS H | Director | Dec 01, 2021 | Option Exercise | $96.92 | 825 | 79,957 | 94,283 | Dec 03, 2021, 04:23 PM |
| CORLEY ELIZABETH | Director | Dec 01, 2021 | Option Exercise | $96.92 | 490 | 47,489 | 28,514 | Dec 03, 2021, 04:22 PM |
| DARLING ALISTAIR | Director | Nov 09, 2021 | Sale | $99.46 | 1,000 | 99,460 | 32,675 | Nov 12, 2021, 04:13 PM |
| YESHAYA SHARON | Chief Financial Officer | Jul 21, 2021 | Option Exercise | $92.32 | 1,171 | 108,107 | 23,724 | Jul 23, 2021, 04:17 PM |
| YESHAYA SHARON | Chief Financial Officer | Jul 21, 2021 | Sale | $95.64 | 2,500 | 239,104 | 24,895 | Jul 23, 2021, 04:17 PM |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Jul 16, 2021 | Sale | $92.97 | 11,465 | 1,065,901 | 173,075 | Jul 16, 2021, 04:28 PM |
| LUCZO STEPHEN J | Director | Apr 17, 2020 | Buy | $38.59 | 29,000 | 1,119,229 | 154,449 | Jun 03, 2021, 05:46 PM |
| CORLEY ELIZABETH | Director | Jun 01, 2021 | Option Exercise | $92.49 | 514 | 47,541 | 27,643 | Jun 03, 2021, 05:34 PM |
| OLAYAN HUTHAM S | Director | May 20, 2021 | Option Exercise | $86.33 | 550 | 47,479 | 194,388 | May 21, 2021, 04:40 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Apr 19, 2021 | Sale | $80.06 | 73,162 | 5,856,984 | 267,915 | Apr 21, 2021, 04:06 PM |
| Hotsuki Keishi | Chief Risk Officer | Feb 26, 2021 | Option Exercise | $78.43 | 19,384 | 1,520,287 | 276,988 | Feb 26, 2021, 04:23 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Feb 26, 2021 | Option Exercise | $78.43 | 24,554 | 1,925,770 | 290,811 | Feb 26, 2021, 04:22 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Feb 26, 2021 | Option Exercise | $78.43 | 34,410 | 2,698,776 | 341,077 | Feb 26, 2021, 04:20 PM |
| SAPERSTEIN ANDREW M | Head of Wealth Management | Feb 26, 2021 | Option Exercise | $78.43 | 25,846 | 2,027,102 | 183,907 | Feb 26, 2021, 04:20 PM |
| PICK EDWARD N | Head of Inst'l Securities | Feb 26, 2021 | Option Exercise | $78.43 | 77,248 | 6,058,561 | 588,151 | Feb 26, 2021, 04:17 PM |
| PRUZAN JONATHAN | Chief Financial Officer | Feb 26, 2021 | Option Exercise | $78.43 | 30,196 | 2,368,272 | 280,718 | Feb 26, 2021, 04:15 PM |
| GORMAN JAMES P | Chairman and CEO | Feb 26, 2021 | Option Exercise | $78.43 | 179,076 | 14,044,931 | 1,206,734 | Feb 26, 2021, 04:12 PM |
| Hotsuki Keishi | Chief Risk Officer | Feb 16, 2021 | Sale | $76.25 | 22,746 | 1,734,383 | 256,786 | Feb 18, 2021, 04:17 PM |
| GORMAN JAMES P | Chairman and CEO | Feb 11, 2021 | Option Exercise | $73.72 | 27,825 | 2,051,259 | 1,047,898 | Feb 12, 2021, 04:16 PM |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Feb 09, 2021 | Sale | $74.36 | 15,169 | 1,128,012 | 230,896 | Feb 11, 2021, 04:08 PM |
| BRODSKY JEFFREY S | Chief Human Resources Officer | Jan 21, 2021 | Option Exercise | $74.84 | 6,008 | 449,639 | 168,595 | Jan 22, 2021, 04:39 PM |
| BRODSKY JEFFREY S | Chief Human Resources Officer | Jan 21, 2021 | Sale | $74.57 | 18,500 | 1,379,545 | 150,095 | Jan 22, 2021, 04:39 PM |
| Hotsuki Keishi | Chief Risk Officer | Jan 21, 2021 | Option Exercise | $74.84 | 9,120 | 682,541 | 279,086 | Jan 22, 2021, 04:38 PM |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Jan 21, 2021 | Option Exercise | $74.84 | 9,703 | 726,172 | 246,065 | Jan 22, 2021, 04:37 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Jan 21, 2021 | Option Exercise | $74.84 | 12,676 | 948,672 | 293,661 | Jan 22, 2021, 04:37 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Jan 21, 2021 | Sale | $74.74 | 29,000 | 2,167,567 | 264,661 | Jan 22, 2021, 04:37 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jan 21, 2021 | Option Exercise | $74.84 | 16,440 | 1,230,370 | 310,085 | Jan 22, 2021, 04:36 PM |
| SAPERSTEIN ANDREW M | Head of Wealth Management | Jan 21, 2021 | Option Exercise | $74.84 | 13,565 | 1,015,205 | 186,289 | Jan 22, 2021, 04:35 PM |
| SAPERSTEIN ANDREW M | Head of Wealth Management | Jan 22, 2021 | Sale | $72.55 | 19,832 | 1,438,812 | 156,239 | Jan 22, 2021, 04:35 PM |
| SAPERSTEIN ANDREW M | Head of Wealth Management | Jan 21, 2021 | Sale | $74.01 | 10,218 | 756,249 | 176,071 | Jan 22, 2021, 04:35 PM |
| PICK EDWARD N | Head of Inst'l Securities | Jan 21, 2021 | Option Exercise | $74.84 | 23,716 | 1,774,905 | 622,897 | Jan 22, 2021, 04:34 PM |
| PICK EDWARD N | Head of Inst'l Securities | Jan 21, 2021 | Sale | $75.10 | 100,000 | 7,510,200 | 524,197 | Jan 22, 2021, 04:34 PM |
| PRUZAN JONATHAN | Chief Financial Officer | Jan 21, 2021 | Option Exercise | $74.84 | 15,470 | 1,157,775 | 272,364 | Jan 22, 2021, 04:33 PM |
| PRUZAN JONATHAN | Chief Financial Officer | Jan 22, 2021 | Sale | $74.53 | 18,880 | 1,407,060 | 253,484 | Jan 22, 2021, 04:33 PM |
| GORMAN JAMES P | Chairman and CEO | Jan 21, 2021 | Option Exercise | $74.84 | 52,277 | 3,912,410 | 1,196,723 | Jan 22, 2021, 04:29 PM |
| GORMAN JAMES P | Chairman and CEO | Jan 22, 2021 | Sale | $73.12 | 175,000 | 12,796,123 | 1,024,748 | Jan 22, 2021, 04:29 PM |
| TRAQUINA PERRY M | Director | Dec 01, 2020 | Option Exercise | $63.25 | 1,067 | 67,484 | 56,866 | Dec 03, 2020, 04:30 PM |
| OLAYAN HUTHAM S | Director | Dec 01, 2020 | Option Exercise | $63.25 | 751 | 47,498 | 192,228 | Dec 03, 2020, 04:29 PM |
| GLOCER THOMAS H | Director | Dec 01, 2020 | Option Exercise | $63.25 | 1,265 | 80,007 | 87,991 | Dec 03, 2020, 04:27 PM |
| CORLEY ELIZABETH | Director | Dec 01, 2020 | Option Exercise | $63.25 | 751 | 47,498 | 24,215 | Dec 03, 2020, 04:26 PM |
| OLAYAN HUTHAM S | Director | Nov 12, 2020 | Buy | $55.40 | 25,000 | 1,385,000 | 28,129 | Nov 16, 2020, 04:44 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 19, 2020 | Sale | $0.97 | 1,020,122 | 986,878 | 377,084,608 | Oct 21, 2020, 08:44 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Jun 24, 2020 | Sale | $46.95 | 2 | 94 | 377,084,705 | Oct 21, 2020, 08:44 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Aug 02, 2019 | Buy | $44.32 | 179 | 7,933 | 396,296,624 | Oct 21, 2020, 08:42 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | May 14, 2019 | Buy | $44.34 | 1,429 | 63,362 | 403,971,684 | Oct 21, 2020, 08:42 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Mar 30, 2020 | Sale | $34.84 | 2 | 70 | 377,084,708 | Oct 21, 2020, 08:42 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Feb 06, 2020 | Sale | $54.95 | 1,495 | 82,150 | 381,650,000 | Oct 21, 2020, 08:42 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Apr 03, 2018 | Buy | $53.06 | 743 | 39,424 | 432,019,499 | Oct 21, 2020, 08:41 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 19, 2017 | Buy | $47.74 | 2,122 | 101,304 | 432,019,275 | Oct 21, 2020, 08:41 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Jan 16, 2018 | Sale | $54.52 | 177 | 9,650 | 432,018,756 | Oct 21, 2020, 08:41 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Dec 01, 2017 | Sale | $51.86 | 167 | 8,661 | 432,018,932 | Oct 21, 2020, 08:41 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 13, 2017 | Sale | $48.24 | 176 | 8,490 | 432,019,100 | Oct 21, 2020, 08:41 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 13, 2018 | Sale | $47.66 | 667 | 31,789 | 424,550,978 | Oct 21, 2020, 08:41 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | May 30, 2018 | Sale | $50.72 | 1,971 | 99,969 | 431,276,049 | Oct 21, 2020, 08:41 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | May 21, 2018 | Sale | $54.34 | 279 | 15,161 | 431,278,020 | Oct 21, 2020, 08:41 PM |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Aug 21, 2020 | Option Exercise | $52.22 | 18 | 940 | 206,050 | Aug 25, 2020, 04:29 PM |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Aug 01, 2020 | Option Exercise | $48.88 | 3,680 | 179,878 | 206,069 | Aug 20, 2020, 04:08 PM |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Jul 21, 2020 | Sale | $52.18 | 18,355 | 957,843 | 209,542 | Jul 23, 2020, 04:12 PM |
| Hotsuki Keishi | Chief Risk Officer | Jul 20, 2020 | Sale | $52.00 | 19,000 | 988,000 | 243,666 | Jul 22, 2020, 04:11 PM |
| SAPERSTEIN ANDREW M | Head of Wealth Management | Jul 17, 2020 | Sale | $52.56 | 28,846 | 1,516,195 | 118,478 | Jul 21, 2020, 04:13 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Jul 17, 2020 | Sale | $52.84 | 54,420 | 2,875,531 | 250,835 | Jul 21, 2020, 04:10 PM |
| GORMAN JAMES P | Chairman and CEO | Jul 17, 2020 | Sale | $52.39 | 150,000 | 7,858,067 | 1,143,873 | Jul 17, 2020, 04:14 PM |
| TRAQUINA PERRY M | Director | Jun 01, 2020 | Option Exercise | $44.74 | 1,509 | 67,516 | 55,086 | Jun 03, 2020, 04:14 PM |
| SCHAPIRO MARY L | Director | Jun 01, 2020 | Option Exercise | $44.74 | 1,062 | 47,516 | 20,145 | Jun 03, 2020, 04:14 PM |
| OLAYAN HUTHAM S | Director | Jun 01, 2020 | Option Exercise | $44.74 | 1,173 | 52,482 | 189,135 | Jun 03, 2020, 04:13 PM |
| GLOCER THOMAS H | Director | Jun 01, 2020 | Option Exercise | $44.74 | 1,788 | 79,999 | 85,677 | Jun 03, 2020, 04:08 PM |
| DARLING ALISTAIR | Director | Jun 01, 2020 | Option Exercise | $44.74 | 315 | 14,094 | 24,769 | Jun 03, 2020, 04:07 PM |
| CORLEY ELIZABETH | Director | Jun 01, 2020 | Option Exercise | $44.74 | 1,062 | 47,516 | 23,164 | Jun 03, 2020, 04:06 PM |
| BRODSKY JEFFREY S | Chief Human Resources Officer | Apr 28, 2020 | Sale | $40.57 | 18,174 | 737,319 | 141,863 | Apr 28, 2020, 04:46 PM |
| LUCZO STEPHEN J | Director | Apr 17, 2020 | Buy | $38.68 | 19,000 | 734,871 | 190,000 | Apr 20, 2020, 04:14 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Mar 16, 2020 | Option Exercise | $44.22 | 4,565,290 | 201,863,876 | 377,085,167 | Mar 18, 2020, 08:52 PM |
| LUCZO STEPHEN J | Director | Feb 28, 2020 | Buy | $44.97 | 50,000 | 2,248,735 | 171,000 | Mar 02, 2020, 04:33 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Feb 28, 2020 | Option Exercise | $45.41 | 27,150 | 1,232,881 | 244,031 | Feb 28, 2020, 04:27 PM |
| SAPERSTEIN ANDREW M | Head of Wealth Management | Feb 28, 2020 | Option Exercise | $45.41 | 18,407 | 835,862 | 146,320 | Feb 28, 2020, 04:26 PM |
| PRUZAN JONATHAN | Chief Financial Officer | Feb 28, 2020 | Option Exercise | $45.41 | 24,440 | 1,109,820 | 212,493 | Feb 28, 2020, 04:25 PM |
| PICK EDWARD N | Head of Inst'l Securities | Feb 28, 2020 | Option Exercise | $45.41 | 63,947 | 2,903,833 | 535,174 | Feb 28, 2020, 04:24 PM |
| Hotsuki Keishi | Chief Risk Officer | Feb 28, 2020 | Option Exercise | $45.41 | 17,165 | 779,463 | 261,977 | Feb 28, 2020, 04:23 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Feb 28, 2020 | Option Exercise | $45.41 | 21,785 | 989,257 | 304,368 | Feb 28, 2020, 04:21 PM |
| BRODSKY JEFFREY S | Chief Human Resources Officer | Feb 28, 2020 | Option Exercise | $45.41 | 13,203 | 599,548 | 160,037 | Feb 28, 2020, 04:20 PM |
| GORMAN JAMES P | Chairman and CEO | Feb 28, 2020 | Option Exercise | $45.41 | 273,670 | 12,427,355 | 1,296,585 | Feb 28, 2020, 04:19 PM |
| LUCZO STEPHEN J | Director | Feb 21, 2020 | Buy | $53.00 | 50,000 | 2,649,955 | 121,000 | Feb 24, 2020, 04:09 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Jan 29, 2020 | Option Exercise | $55.02 | 908,960 | 50,012,887 | 381,650,457 | Jan 31, 2020, 06:14 AM |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Jan 17, 2020 | Option Exercise | $56.44 | 2,407 | 135,851 | 227,420 | Jan 17, 2020, 04:57 PM |
| WIRTH PAUL C | Deputy Chief Financial Officer | Jan 17, 2020 | Option Exercise | $56.44 | 19,789 | 1,116,891 | 153,977 | Jan 17, 2020, 04:41 PM |
| BRODSKY JEFFREY S | Chief Human Resources Officer | Jan 17, 2020 | Option Exercise | $56.44 | 6,165 | 347,953 | 146,060 | Jan 17, 2020, 04:40 PM |
| Hotsuki Keishi | Chief Risk Officer | Jan 17, 2020 | Option Exercise | $56.44 | 9,689 | 546,847 | 243,776 | Jan 17, 2020, 04:36 PM |
| GROSSMAN ERIC F | Chief Legal Officer | Jan 17, 2020 | Option Exercise | $56.44 | 13,799 | 778,816 | 281,258 | Jan 17, 2020, 04:33 PM |
| SIMKOWITZ DANIEL A | Head of Investment Management | Jan 17, 2020 | Option Exercise | $56.44 | 18,504 | 1,044,366 | 219,464 | Jan 17, 2020, 04:31 PM |
| PRUZAN JONATHAN | Chief Financial Officer | Jan 17, 2020 | Option Exercise | $56.44 | 15,940 | 899,654 | 190,626 | Jan 17, 2020, 04:29 PM |
| GORMAN JAMES P | Chairman and CEO | Jan 17, 2020 | Option Exercise | $56.44 | 61,436 | 3,467,448 | 1,399,230 | Jan 17, 2020, 04:28 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Dec 20, 2019 | Option Exercise | $49.16 | 4,690,554 | 230,587,634 | 382,559,417 | Dec 23, 2019, 08:56 AM |
| WIRTH PAUL C | Deputy Chief Financial Officer | Nov 27, 2019 | Sale | $49.62 | 25,000 | 1,240,500 | 146,816 | Dec 02, 2019, 04:28 PM |
| Hotsuki Keishi | Chief Risk Officer | Nov 27, 2019 | Sale | $49.78 | 26,000 | 1,294,249 | 228,530 | Dec 02, 2019, 04:27 PM |
| TRAQUINA PERRY M | Director | Dec 01, 2019 | Option Exercise | $49.57 | 1,362 | 67,513 | 47,248 | Dec 02, 2019, 04:24 PM |
| SCHAPIRO MARY L | Director | Dec 01, 2019 | Option Exercise | $49.57 | 958 | 47,487 | 13,288 | Dec 02, 2019, 04:22 PM |
| OLAYAN HUTHAM S | Director | Dec 01, 2019 | Option Exercise | $49.57 | 1,059 | 52,494 | 179,680 | Dec 02, 2019, 04:21 PM |
| GLOCER THOMAS H | Director | Dec 01, 2019 | Option Exercise | $49.57 | 1,614 | 80,005 | 77,162 | Dec 02, 2019, 04:20 PM |
| CORLEY ELIZABETH | Director | Dec 01, 2019 | Option Exercise | $49.57 | 958 | 47,487 | 16,260 | Dec 02, 2019, 04:19 PM |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Nov 21, 2019 | Sale | $49.13 | 51,105 | 2,511,003 | 183,448 | Nov 22, 2019, 04:14 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 29, 2019 | Option Exercise | $46.77 | 38,000 | 1,777,283 | 387,249,971 | Oct 30, 2019, 06:05 AM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 29, 2019 | Option Exercise | $45.61 | 1,094,110 | 49,899,733 | 387,287,971 | Oct 30, 2019, 06:05 AM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 20, 2019 | Option Exercise | $41.31 | 7,913,505 | 326,921,121 | 388,382,081 | Sep 24, 2019, 07:15 AM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Nov 18, 2014 | Buy | $1.01 | 39,000 | 39,351 | 0 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 25, 2014 | Buy | $1.00 | 250,000 | 249,750 | 81,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Apr 23, 2014 | Buy | $1.01 | 125,000 | 126,625 | 125,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 10, 2014 | Buy | $1.01 | 70,000 | 70,700 | 86,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 05, 2014 | Buy | $1.01 | 140,000 | 141,400 | 140,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Nov 07, 2014 | Buy | $1.00 | 140,000 | 140,000 | 101,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 09, 2014 | Buy | $1.01 | 140,000 | 141,400 | 156,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 04, 2014 | Buy | $1.02 | 210,000 | 214,200 | 210,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 18, 2014 | Buy | $1.01 | 70,000 | 70,700 | 79,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 22, 2014 | Buy | $1.00 | 150,000 | 150,750 | 31,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 26, 2014 | Buy | $1.00 | 280,000 | 280,000 | 296,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Aug 21, 2014 | Buy | $1.02 | 210,000 | 214,200 | 210,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 17, 2014 | Buy | $1.00 | 70,000 | 70,000 | 49,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 25, 2014 | Sale | $1.00 | 65,000 | 65,065 | 16,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | May 06, 2014 | Sale | $1.02 | 125,000 | 127,000 | 0 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 10, 2014 | Sale | $1.02 | 205,000 | 209,580 | 119,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 05, 2014 | Sale | $1.05 | 140,000 | 147,000 | 0 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Nov 07, 2014 | Sale | $1.04 | 140,000 | 145,600 | 39,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 24, 2014 | Sale | $1.00 | 20,000 | 20,060 | 169,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 09, 2014 | Sale | $1.05 | 140,000 | 147,000 | 16,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 04, 2014 | Sale | $1.06 | 210,000 | 222,600 | 0 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 18, 2014 | Sale | $1.05 | 70,000 | 73,500 | 149,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 24, 2014 | Sale | $1.00 | 70,000 | 70,350 | 39,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 26, 2014 | Sale | $1.04 | 280,000 | 291,200 | 16,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Aug 21, 2014 | Sale | $1.06 | 210,000 | 222,600 | 0 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 16, 2014 | Sale | $1.00 | 100,000 | 100,400 | 149,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Oct 17, 2014 | Sale | $1.04 | 70,000 | 72,800 | 119,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Sep 15, 2014 | Sale | $1.00 | 49,000 | 49,245 | 49,000 | Sep 20, 2019, 04:06 PM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Jul 29, 2019 | Option Exercise | $45.02 | 1,557,900 | 70,136,968 | 396,295,586 | Jul 31, 2019, 06:05 AM |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | Jun 21, 2019 | Option Exercise | $44.11 | 6,117,339 | 269,839,491 | 397,853,486 | Jun 25, 2019, 06:23 AM |
| TRAQUINA PERRY M | Director | Jun 01, 2019 | Option Exercise | $40.92 | 1,650 | 67,515 | 45,157 | Jun 04, 2019, 04:25 PM |
| SCHAPIRO MARY L | Director | Jun 01, 2019 | Option Exercise | $40.92 | 1,161 | 47,506 | 12,134 | Jun 04, 2019, 04:24 PM |
| OLAYAN HUTHAM S | Director | Jun 01, 2019 | Option Exercise | $40.92 | 1,283 | 52,498 | 175,909 | Jun 04, 2019, 04:23 PM |
| GLOCER THOMAS H | Director | Jun 01, 2019 | Option Exercise | $40.92 | 1,955 | 79,995 | 74,419 | Jun 04, 2019, 04:17 PM |
| CORLEY ELIZABETH | Director | Jun 01, 2019 | Option Exercise | $40.92 | 1,161 | 47,506 | 15,058 | Jun 04, 2019, 04:14 PM |
| DARLING ALISTAIR | Director | May 24, 2019 | Option Exercise | $42.96 | 511 | 21,952 | 18,382 | May 29, 2019, 04:40 PM |
| 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 27, 2014 | Option Exercise | $30.03 | 20,832 | 625,689 | 157,947 | Jan 29, 2014, 04:50 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 |
| 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 28, 2014 | Option Exercise | $29.99 | 21,593 | 647,466 | 858,709 | Jan 29, 2014, 04:47 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 |
| 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 08, 2013 | Sale | $23.10 | 17,379 | 401,455 | 167,707 | Feb 08, 2013, 04:47 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 |
| 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 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. | 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. | 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 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 05, 2013 | Option Exercise | $23.25 | 6,723 | 156,310 | 27,524 | 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. | 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. | 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 | 447,561 | 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 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 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 22, 2010 | Sale | $27.13 | 575,000 | 15,599,750 | 171,132,379 | Jul 23, 2010, 04:02 PM |
| CHINA INVESTMENT CORP | 10% Owner | Jul 21, 2010 | Sale | $27.17 | 4,525,000 | 122,944,250 | 171,132,379 | Jul 23, 2010, 04:02 PM |
Load More Insider Transactions
Buy
Sale
Option Exercise
| Owner | Relationship | Date | Value($) |
| SIMKOWITZ DANIEL A | Co-President | 02/22/2024 | 3,547,701 |
| SAPERSTEIN ANDREW M | Co-President | 02/22/2024 | 3,275,084 |
| PICK EDWARD N | Chief Executive Officer | 02/22/2024 | 7,185,306 |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | 02/22/2024 | 1,907,040 |
| GORMAN JAMES P | Executive Chairman | 02/22/2024 | 14,145,937 |
| SAPERSTEIN ANDREW M | Co-President | 02/12/2024 | 2,324,092 |
| GORMAN JAMES P | Executive Chairman | 02/12/2024 | 8,730,220 |
| SAPERSTEIN ANDREW M | Co-President | 01/30/2024 | 879,170 |
| AKRAM RAJA | Deputy Chief Financial Officer | 01/30/2024 | 393,346 |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | 01/31/2024 | 2,352,001 |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | 01/30/2024 | 2,332,595 |
| GORMAN JAMES P | Executive Chairman | 01/26/2024 | 4,396,400 |
| GORMAN JAMES P | Executive Chairman | 01/25/2024 | 4,396,435 |
| AKRAM RAJA | Deputy Chief Financial Officer | 01/17/2024 | 875,175 |
| AKRAM RAJA | Deputy Chief Financial Officer | 01/18/2024 | 584,928 |
| YESHAYA SHARON | Chief Financial Officer | 01/17/2024 | 358,409 |
| Smith Charles Aubrey III | Chief Risk Officer | 01/17/2024 | 1,862,712 |
| SIMKOWITZ DANIEL A | Co-President | 01/17/2024 | 3,842,085 |
| SAPERSTEIN ANDREW M | Co-President | 01/17/2024 | 3,521,675 |
| SAPERSTEIN ANDREW M | Co-President | 01/19/2024 | 841,344 |
| PICK EDWARD N | Chief Executive Officer | 01/17/2024 | 5,258,871 |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | 01/17/2024 | 2,341,221 |
| CRAWLEY MANDELL | Chief Human Resources Officer | 01/17/2024 | 523,041 |
| GORMAN JAMES P | Executive Chairman | 01/17/2024 | 3,700,149 |
| TRAQUINA PERRY M | Director | 12/01/2023 | 70,019 |
| LUCZO STEPHEN J | Director | 12/01/2023 | 49,967 |
| GLOCER THOMAS H | Director | 12/01/2023 | 100,015 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 11/14/2023 | 96,948 |
| PICK EDWARD N | Co-President/Head of IS | 07/24/2023 | 9,433,050 |
| GORMAN JAMES P | Chairman and CEO | 07/24/2023 | 11,898,812 |
| Smith Charles Aubrey III | Chief Risk Officer | 07/19/2023 | 546,951 |
| Smith Charles Aubrey III | Chief Risk Officer | 07/19/2023 | 517,520 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 07/20/2023 | 3,526,852 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 07/19/2023 | 3,654,280 |
| GORMAN JAMES P | Chairman and CEO | 07/19/2023 | 11,543,286 |
| AKRAM RAJA | Deputy Chief Financial Officer | 07/19/2023 | 1,242,000 |
| TRAQUINA PERRY M | Director | 06/01/2023 | 70,010 |
| SCHAPIRO MARY L | Director | 06/01/2023 | 49,984 |
| LUCZO STEPHEN J | Director | 06/01/2023 | 49,984 |
| GLOCER THOMAS H | Director | 06/01/2023 | 99,968 |
| DARLING ALISTAIR | Director | 06/01/2023 | 22,078 |
| AKRAM RAJA | Deputy Chief Financial Officer | 05/15/2023 | 607,198 |
| GLOCER THOMAS H | Director | 05/03/2023 | 395,021 |
| AKRAM RAJA | Deputy Chief Financial Officer | 05/01/2023 | 1,468,400 |
| LUCZO STEPHEN J | Director | 04/21/2023 | 3,068,670 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 02/24/2023 | 4,557,148 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 02/24/2023 | 4,009,664 |
| PICK EDWARD N | Co-President/Head of IS | 02/24/2023 | 7,476,544 |
| Hotsuki Keishi | Chief Risk Officer | 02/24/2023 | 2,050,864 |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | 02/24/2023 | 2,563,678 |
| GORMAN JAMES P | Chairman and CEO | 02/24/2023 | 18,156,901 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 02/13/2023 | 4,550,950 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 02/13/2023 | 2,412,099 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/31/2023 | 779,726 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/30/2023 | 1,455,861 |
| DARLING ALISTAIR | Director | 01/25/2023 | 189,410 |
| AKRAM RAJA | Deputy Chief Financial Officer | 01/18/2023 | 964,975 |
| AKRAM RAJA | Deputy Chief Financial Officer | 01/18/2023 | 494,700 |
| YESHAYA SHARON | Chief Financial Officer | 01/18/2023 | 233,963 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/18/2023 | 2,217,016 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/18/2023 | 4,358,353 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 01/18/2023 | 1,970,821 |
| PRUZAN JONATHAN | Chief Operating Officer | 01/18/2023 | 1,972,277 |
| PICK EDWARD N | Co-President/Head of IS | 01/18/2023 | 2,914,730 |
| PICK EDWARD N | Co-President/Head of IS | 01/18/2023 | 13,092,566 |
| Hotsuki Keishi | Chief Risk Officer | 01/18/2023 | 1,131,079 |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | 01/18/2023 | 1,526,195 |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | 01/18/2023 | 11,653,788 |
| CRAWLEY MANDELL | Chief Human Resources Officer | 01/18/2023 | 397,057 |
| CRAWLEY MANDELL | Chief Human Resources Officer | 01/19/2023 | 350,625 |
| GORMAN JAMES P | Chairman and CEO | 01/18/2023 | 5,826,548 |
| GORMAN JAMES P | Chairman and CEO | 01/18/2023 | 24,233,637 |
| TRAQUINA PERRY M | Director | 12/01/2022 | 67,475 |
| SCHAPIRO MARY L | Director | 12/01/2022 | 47,520 |
| LUCZO STEPHEN J | Director | 12/01/2022 | 55,038 |
| GLOCER THOMAS H | Director | 12/01/2022 | 80,005 |
| TRAQUINA PERRY M | Director | 06/01/2022 | 67,496 |
| LUCZO STEPHEN J | Director | 06/01/2022 | 55,016 |
| GLOCER THOMAS H | Director | 06/01/2022 | 79,977 |
| AKRAM RAJA | Deputy Chief Financial Officer | 05/13/2022 | 11,047 |
| LUCZO STEPHEN J | Director | 05/12/2022 | 1,982,425 |
| AKRAM RAJA | Deputy Chief Financial Officer | 05/01/2022 | 1,272,113 |
| CORLEY ELIZABETH | Director | 04/21/2022 | 39,591 |
| CORLEY ELIZABETH | Director | 04/21/2022 | 209,254 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 02/24/2022 | 5,198,012 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 02/24/2022 | 4,301,990 |
| PRUZAN JONATHAN | Chief Operating Officer | 02/24/2022 | 5,198,012 |
| PICK EDWARD N | Co-President/Head of IS | 02/24/2022 | 11,426,384 |
| Hotsuki Keishi | Chief Risk Officer | 02/24/2022 | 2,812,861 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/24/2022 | 3,557,520 |
| GORMAN JAMES P | Chairman and CEO | 02/24/2022 | 24,645,000 |
| GORMAN JAMES P | Chairman and CEO | 02/09/2022 | 2,672,040 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 02/08/2022 | 1,814,006 |
| Hotsuki Keishi | Chief Risk Officer | 02/07/2022 | 2,572,500 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/31/2022 | 1,888,521 |
| PRUZAN JONATHAN | Chief Operating Officer | 01/26/2022 | 1,860,698 |
| YESHAYA SHARON | Chief Financial Officer | 01/20/2022 | 264,215 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/20/2022 | 1,665,128 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 01/20/2022 | 1,461,031 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 01/20/2022 | 1,497,593 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | 01/20/2022 | 1,771,675 |
| PRUZAN JONATHAN | Chief Operating Officer | 01/20/2022 | 1,665,128 |
| PICK EDWARD N | Co-President/Head of IS | 01/20/2022 | 1,585,768 |
| Hotsuki Keishi | Chief Risk Officer | 01/20/2022 | 1,081,653 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/20/2022 | 1,373,534 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/20/2022 | 3,375,130 |
| CRAWLEY MANDELL | Chief Human Resources Officer | 01/20/2022 | 387,036 |
| CRAWLEY MANDELL | Chief Human Resources Officer | 01/21/2022 | 736,812 |
| GORMAN JAMES P | Chairman and CEO | 01/20/2022 | 7,192,961 |
| TRAQUINA PERRY M | Director | 12/01/2021 | 67,454 |
| LUCZO STEPHEN J | Director | 12/01/2021 | 54,952 |
| GLOCER THOMAS H | Director | 12/01/2021 | 79,957 |
| CORLEY ELIZABETH | Director | 12/01/2021 | 47,489 |
| DARLING ALISTAIR | Director | 11/09/2021 | 99,460 |
| YESHAYA SHARON | Chief Financial Officer | 07/21/2021 | 108,107 |
| YESHAYA SHARON | Chief Financial Officer | 07/21/2021 | 239,104 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | 07/16/2021 | 1,065,901 |
| LUCZO STEPHEN J | Director | 04/17/2020 | 1,119,229 |
| CORLEY ELIZABETH | Director | 06/01/2021 | 47,541 |
| OLAYAN HUTHAM S | Director | 05/20/2021 | 47,479 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 04/19/2021 | 5,856,984 |
| Hotsuki Keishi | Chief Risk Officer | 02/26/2021 | 1,520,287 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/26/2021 | 1,925,770 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 02/26/2021 | 2,698,776 |
| SAPERSTEIN ANDREW M | Head of Wealth Management | 02/26/2021 | 2,027,102 |
| PICK EDWARD N | Head of Inst'l Securities | 02/26/2021 | 6,058,561 |
| PRUZAN JONATHAN | Chief Financial Officer | 02/26/2021 | 2,368,272 |
| GORMAN JAMES P | Chairman and CEO | 02/26/2021 | 14,044,931 |
| Hotsuki Keishi | Chief Risk Officer | 02/16/2021 | 1,734,383 |
| GORMAN JAMES P | Chairman and CEO | 02/11/2021 | 2,051,259 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | 02/09/2021 | 1,128,012 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/21/2021 | 449,639 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/21/2021 | 1,379,545 |
| Hotsuki Keishi | Chief Risk Officer | 01/21/2021 | 682,541 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | 01/21/2021 | 726,172 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/21/2021 | 948,672 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/21/2021 | 2,167,567 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/21/2021 | 1,230,370 |
| SAPERSTEIN ANDREW M | Head of Wealth Management | 01/21/2021 | 1,015,205 |
| SAPERSTEIN ANDREW M | Head of Wealth Management | 01/22/2021 | 1,438,812 |
| SAPERSTEIN ANDREW M | Head of Wealth Management | 01/21/2021 | 756,249 |
| PICK EDWARD N | Head of Inst'l Securities | 01/21/2021 | 1,774,905 |
| PICK EDWARD N | Head of Inst'l Securities | 01/21/2021 | 7,510,200 |
| PRUZAN JONATHAN | Chief Financial Officer | 01/21/2021 | 1,157,775 |
| PRUZAN JONATHAN | Chief Financial Officer | 01/22/2021 | 1,407,060 |
| GORMAN JAMES P | Chairman and CEO | 01/21/2021 | 3,912,410 |
| GORMAN JAMES P | Chairman and CEO | 01/22/2021 | 12,796,123 |
| TRAQUINA PERRY M | Director | 12/01/2020 | 67,484 |
| OLAYAN HUTHAM S | Director | 12/01/2020 | 47,498 |
| GLOCER THOMAS H | Director | 12/01/2020 | 80,007 |
| CORLEY ELIZABETH | Director | 12/01/2020 | 47,498 |
| OLAYAN HUTHAM S | Director | 11/12/2020 | 1,385,000 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/19/2020 | 986,878 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 06/24/2020 | 94 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 08/02/2019 | 7,933 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 05/14/2019 | 63,362 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 03/30/2020 | 70 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 02/06/2020 | 82,150 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 04/03/2018 | 39,424 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/19/2017 | 101,304 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 01/16/2018 | 9,650 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 12/01/2017 | 8,661 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/13/2017 | 8,490 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/13/2018 | 31,789 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 05/30/2018 | 99,969 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 05/21/2018 | 15,161 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | 08/21/2020 | 940 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | 08/01/2020 | 179,878 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | 07/21/2020 | 957,843 |
| Hotsuki Keishi | Chief Risk Officer | 07/20/2020 | 988,000 |
| SAPERSTEIN ANDREW M | Head of Wealth Management | 07/17/2020 | 1,516,195 |
| GROSSMAN ERIC F | Chief Legal Officer | 07/17/2020 | 2,875,531 |
| GORMAN JAMES P | Chairman and CEO | 07/17/2020 | 7,858,067 |
| TRAQUINA PERRY M | Director | 06/01/2020 | 67,516 |
| SCHAPIRO MARY L | Director | 06/01/2020 | 47,516 |
| OLAYAN HUTHAM S | Director | 06/01/2020 | 52,482 |
| GLOCER THOMAS H | Director | 06/01/2020 | 79,999 |
| DARLING ALISTAIR | Director | 06/01/2020 | 14,094 |
| CORLEY ELIZABETH | Director | 06/01/2020 | 47,516 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 04/28/2020 | 737,319 |
| LUCZO STEPHEN J | Director | 04/17/2020 | 734,871 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 03/16/2020 | 201,863,876 |
| LUCZO STEPHEN J | Director | 02/28/2020 | 2,248,735 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 02/28/2020 | 1,232,881 |
| SAPERSTEIN ANDREW M | Head of Wealth Management | 02/28/2020 | 835,862 |
| PRUZAN JONATHAN | Chief Financial Officer | 02/28/2020 | 1,109,820 |
| PICK EDWARD N | Head of Inst'l Securities | 02/28/2020 | 2,903,833 |
| Hotsuki Keishi | Chief Risk Officer | 02/28/2020 | 779,463 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/28/2020 | 989,257 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 02/28/2020 | 599,548 |
| GORMAN JAMES P | Chairman and CEO | 02/28/2020 | 12,427,355 |
| LUCZO STEPHEN J | Director | 02/21/2020 | 2,649,955 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 01/29/2020 | 50,012,887 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | 01/17/2020 | 135,851 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/17/2020 | 1,116,891 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/17/2020 | 347,953 |
| Hotsuki Keishi | Chief Risk Officer | 01/17/2020 | 546,847 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/17/2020 | 778,816 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/17/2020 | 1,044,366 |
| PRUZAN JONATHAN | Chief Financial Officer | 01/17/2020 | 899,654 |
| GORMAN JAMES P | Chairman and CEO | 01/17/2020 | 3,467,448 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 12/20/2019 | 230,587,634 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 11/27/2019 | 1,240,500 |
| Hotsuki Keishi | Chief Risk Officer | 11/27/2019 | 1,294,249 |
| TRAQUINA PERRY M | Director | 12/01/2019 | 67,513 |
| SCHAPIRO MARY L | Director | 12/01/2019 | 47,487 |
| OLAYAN HUTHAM S | Director | 12/01/2019 | 52,494 |
| GLOCER THOMAS H | Director | 12/01/2019 | 80,005 |
| CORLEY ELIZABETH | Director | 12/01/2019 | 47,487 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | 11/21/2019 | 2,511,003 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/29/2019 | 1,777,283 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/29/2019 | 49,899,733 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/20/2019 | 326,921,121 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 11/18/2014 | 39,351 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/25/2014 | 249,750 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 04/23/2014 | 126,625 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/10/2014 | 70,700 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/05/2014 | 141,400 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 11/07/2014 | 140,000 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/09/2014 | 141,400 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/04/2014 | 214,200 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/18/2014 | 70,700 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/22/2014 | 150,750 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/26/2014 | 280,000 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 08/21/2014 | 214,200 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/17/2014 | 70,000 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/25/2014 | 65,065 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 05/06/2014 | 127,000 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/10/2014 | 209,580 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/05/2014 | 147,000 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 11/07/2014 | 145,600 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/24/2014 | 20,060 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/09/2014 | 147,000 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/04/2014 | 222,600 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/18/2014 | 73,500 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/24/2014 | 70,350 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/26/2014 | 291,200 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 08/21/2014 | 222,600 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/16/2014 | 100,400 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/17/2014 | 72,800 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/15/2014 | 49,245 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 07/29/2019 | 70,136,968 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 06/21/2019 | 269,839,491 |
| TRAQUINA PERRY M | Director | 06/01/2019 | 67,515 |
| SCHAPIRO MARY L | Director | 06/01/2019 | 47,506 |
| OLAYAN HUTHAM S | Director | 06/01/2019 | 52,498 |
| GLOCER THOMAS H | Director | 06/01/2019 | 79,995 |
| CORLEY ELIZABETH | Director | 06/01/2019 | 47,506 |
| DARLING ALISTAIR | Director | 05/24/2019 | 21,952 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 04/26/2019 | 42,513,472 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 04/18/2019 | 332,979 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 03/22/2019 | 262,710,195 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 02/26/2019 | 1,060,073 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 02/26/2019 | 825,279 |
| Hotsuki Keishi | Chief Risk Officer | 02/26/2019 | 1,085,886 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/26/2019 | 1,326,875 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 02/26/2019 | 1,850,327 |
| PRUZAN JONATHAN | Chief Financial Officer | 02/26/2019 | 1,554,280 |
| KELLEHER THOMAS COLM | President | 02/26/2019 | 3,081,473 |
| GORMAN JAMES P | Chairman and CEO | 02/26/2019 | 5,529,759 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 01/29/2019 | 49,642,729 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 01/18/2019 | 32,200,000 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/18/2019 | 675,152 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/18/2019 | 1,456,312 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/18/2019 | 479,781 |
| Hotsuki Keishi | Chief Risk Officer | 01/18/2019 | 744,615 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/18/2019 | 918,435 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/18/2019 | 1,419,184 |
| PRUZAN JONATHAN | Chief Financial Officer | 01/18/2019 | 1,125,344 |
| KELLEHER THOMAS COLM | President | 01/18/2019 | 522,821 |
| GORMAN JAMES P | Chairman and CEO | 01/18/2019 | 4,092,662 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 12/20/2018 | 234,065,269 |
| TRAQUINA PERRY M | Director | 12/01/2018 | 57,511 |
| SCHAPIRO MARY L | Director | 12/01/2018 | 28,335 |
| OLAYAN HUTHAM S | Director | 12/01/2018 | 47,505 |
| GLOCER THOMAS H | Director | 12/01/2018 | 72,519 |
| CORLEY ELIZABETH | Director | 12/01/2018 | 42,502 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 10/30/2018 | 78,287,584 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 09/21/2018 | 247,446,260 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 07/27/2018 | 65,253,718 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 06/22/2018 | 284,341,452 |
| TRAQUINA PERRY M | Director | 05/24/2018 | 57,501 |
| OWENS JAMES W | Director | 05/24/2018 | 47,506 |
| OLAYAN HUTHAM S | Director | 05/24/2018 | 47,506 |
| GLOCER THOMAS H | Director | 05/24/2018 | 72,495 |
| CORLEY ELIZABETH | Director | 05/24/2018 | 27,515 |
| DARLING ALISTAIR | Director | 05/22/2018 | 26,695 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 04/26/2018 | 46,540,898 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 02/27/2018 | 995,452 |
| Hotsuki Keishi | Chief Risk Officer | 02/27/2018 | 1,244,243 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/27/2018 | 1,493,149 |
| KELLEHER THOMAS COLM | President | 02/27/2018 | 4,124,103 |
| GORMAN JAMES P | Chairman and CEO | 02/27/2018 | 5,860,172 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 02/26/2018 | 1,138,110 |
| PRUZAN JONATHAN | Chief Financial Officer | 02/16/2018 | 2,889,361 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 02/14/2018 | 607,600 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/14/2018 | 953,296 |
| GORMAN JAMES P | Chairman and CEO | 02/15/2018 | 5,533,810 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 02/14/2018 | 1,730,935 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 02/13/2018 | 2,930,679 |
| BOWLES ERSKINE B | Director | 02/01/2018 | 23,776 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/19/2018 | 2,004,042 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/19/2018 | 825,427 |
| Hotsuki Keishi | Chief Risk Officer | 01/19/2018 | 1,249,755 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/19/2018 | 1,672,185 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/19/2018 | 3,900,480 |
| PRUZAN JONATHAN | Chief Financial Officer | 01/19/2018 | 3,027,812 |
| KELLEHER THOMAS COLM | President | 01/19/2018 | 1,440,225 |
| GORMAN JAMES P | Chairman and CEO | 01/19/2018 | 3,895,957 |
| Hotsuki Keishi | Chief Risk Officer | 11/28/2017 | 1,250,000 |
| TRAQUINA PERRY M | Director | 11/22/2017 | 57,478 |
| OWENS JAMES W | Director | 11/22/2017 | 50,829 |
| OLAYAN HUTHAM S | Director | 11/22/2017 | 47,480 |
| GLOCER THOMAS H | Director | 11/22/2017 | 59,152 |
| DARLING ALISTAIR | Director | 11/24/2017 | 189,785 |
| BOWLES ERSKINE B | Director | 11/22/2017 | 64,176 |
| KELLEHER THOMAS COLM | President | 10/23/2017 | 2,023,516 |
| GROSSMAN ERIC F | Chief Legal Officer | 10/18/2017 | 1,299,638 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 10/18/2017 | 821,024 |
| GORMAN JAMES P | Chairman and CEO | 08/01/2017 | 6,373,104 |
| GORMAN JAMES P | Chairman and CEO | 08/01/2017 | 10,037,011 |
| PRUZAN JONATHAN | Chief Financial Officer | 07/20/2017 | 1,202,834 |
| TRAQUINA PERRY M | Director | 05/22/2017 | 49,990 |
| OLAYAN HUTHAM S | Director | 05/22/2017 | 47,486 |
| GLOCER THOMAS H | Director | 05/22/2017 | 52,494 |
| BOWLES ERSKINE B | Director | 05/22/2017 | 72,481 |
| DARLING ALISTAIR | Director | 05/17/2017 | 33,335 |
| GORMAN JAMES P | Chairman and CEO | 05/10/2017 | 6,373,074 |
| GORMAN JAMES P | Chairman and CEO | 05/10/2017 | 9,117,530 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 03/01/2017 | 759,446 |
| Hotsuki Keishi | Chief Risk Officer | 03/01/2017 | 940,254 |
| GROSSMAN ERIC F | Chief Legal Officer | 03/01/2017 | 1,157,278 |
| KELLEHER THOMAS COLM | President | 03/01/2017 | 3,341,171 |
| GORMAN JAMES P | Chairman and CEO | 03/01/2017 | 4,697,662 |
| DARLING ALISTAIR | Director | 02/15/2017 | 46 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 02/14/2017 | 574,563 |
| KELLEHER THOMAS COLM | President | 02/08/2017 | 5,462,630 |
| KELLEHER THOMAS COLM | President | 02/08/2017 | 7,976,587 |
| DARLING ALISTAIR | Director | 02/01/2017 | 12,495 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/26/2017 | 442,541 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/18/2017 | 637,730 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/18/2017 | 389,592 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/19/2017 | 498,058 |
| Hotsuki Keishi | Chief Risk Officer | 01/18/2017 | 562,028 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/18/2017 | 766,751 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/19/2017 | 739,992 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 01/18/2017 | 1,301,887 |
| PRUZAN JONATHAN | Chief Financial Officer | 01/18/2017 | 1,061,716 |
| KELLEHER THOMAS COLM | President | 01/18/2017 | 1,954,411 |
| GORMAN JAMES P | Chairman and CEO | 01/18/2017 | 1,784,125 |
| GORMAN JAMES P | Chairman and CEO | 01/19/2017 | 6,545,324 |
| GORMAN JAMES P | Chairman and CEO | 01/19/2017 | 12,047,214 |
| GORMAN JAMES P | Chairman and CEO | 11/30/2016 | 4,138,100 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 12/01/2016 | 3,641,744 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 12/01/2016 | 5,102,919 |
| ROSENTHAL JAMES A | Chief Operating Officer | 11/18/2016 | 3,641,744 |
| ROSENTHAL JAMES A | Chief Operating Officer | 11/18/2016 | 4,485,430 |
| TRAQUINA PERRY M | Director | 11/17/2016 | 42,490 |
| OLAYAN HUTHAM S | Director | 11/17/2016 | 47,493 |
| GLOCER THOMAS H | Director | 11/17/2016 | 52,497 |
| BOWLES ERSKINE B | Director | 11/17/2016 | 67,507 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 11/14/2016 | 1,820,857 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 11/14/2016 | 2,366,380 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 11/14/2016 | 1,820,857 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 11/14/2016 | 2,373,503 |
| GORMAN JAMES P | Chairman and CEO | 11/11/2016 | 4,596,000 |
| GORMAN JAMES P | Chairman and CEO | 11/11/2016 | 7,540,460 |
| KELLEHER THOMAS COLM | President | 11/10/2016 | 5,117,945 |
| KELLEHER THOMAS COLM | President | 11/10/2016 | 8,366,420 |
| GROSSMAN ERIC F | Chief Legal Officer | 11/11/2016 | 1,820,857 |
| GROSSMAN ERIC F | Chief Legal Officer | 11/11/2016 | 2,296,063 |
| SIMKOWITZ DANIEL A | Head of Investment Management | 11/10/2016 | 2,257,961 |
| PRUZAN JONATHAN | Chief Financial Officer | 11/08/2016 | 1,512,667 |
| ROSENTHAL JAMES A | Chief Operating Officer | 10/27/2016 | 1,700,727 |
| ROSENTHAL JAMES A | Chief Operating Officer | 10/27/2016 | 2,253,978 |
| GROSSMAN ERIC F | Chief Legal Officer | 10/21/2016 | 5,689,158 |
| GROSSMAN ERIC F | Chief Legal Officer | 10/21/2016 | 7,322,349 |
| ROSENTHAL JAMES A | Chief Operating Officer | 10/20/2016 | 4,596,000 |
| ROSENTHAL JAMES A | Chief Operating Officer | 10/20/2016 | 6,207,875 |
| KELLEHER THOMAS COLM | President | 10/20/2016 | 5,117,922 |
| KELLEHER THOMAS COLM | President | 10/20/2016 | 7,328,026 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 08/30/2016 | 600,051 |
| Hotsuki Keishi | Chief Risk Officer | 08/17/2016 | 5,305,392 |
| Hotsuki Keishi | Chief Risk Officer | 08/17/2016 | 7,458,982 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 08/16/2016 | 604,000 |
| Nicolaisen Donald T | Director | 08/02/2016 | 92,062 |
| ROSENTHAL JAMES A | Chief Operating Officer | 07/25/2016 | 2,298,000 |
| ROSENTHAL JAMES A | Chief Operating Officer | 07/25/2016 | 2,657,086 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 07/21/2016 | 574,584 |
| KELLEHER THOMAS COLM | President | 07/21/2016 | 587,429 |
| GROSSMAN ERIC F | Chief Legal Officer | 05/25/2016 | 703,871 |
| TRAQUINA PERRY M | Director | 05/17/2016 | 42,491 |
| OLAYAN HUTHAM S | Director | 05/17/2016 | 47,504 |
| Miscik Judith A | Director | 05/17/2016 | 19,002 |
| GLOCER THOMAS H | Director | 05/17/2016 | 52,491 |
| BOWLES ERSKINE B | Director | 05/17/2016 | 62,491 |
| ROSENTHAL JAMES A | Chief Operating Officer | 02/26/2016 | 1,256,350 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 02/25/2016 | 576,983 |
| Hotsuki Keishi | Chief Risk Officer | 02/25/2016 | 721,234 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/25/2016 | 865,486 |
| ROSENTHAL JAMES A | Chief Operating Officer | 02/25/2016 | 2,146,940 |
| KELLEHER THOMAS COLM | President | 02/25/2016 | 1,972,055 |
| GORMAN JAMES P | Chairman and CEO | 02/25/2016 | 2,927,663 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/20/2016 | 710,149 |
| BRODSKY JEFFREY S | Chief Human Resources Officer | 01/20/2016 | 402,566 |
| Hotsuki Keishi | Chief Risk Officer | 01/20/2016 | 155,564 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/20/2016 | 200,233 |
| ROSENTHAL JAMES A | Chief Operating Officer | 01/20/2016 | 247,737 |
| PRUZAN JONATHAN | Chief Financial Officer | 01/20/2016 | 1,168,465 |
| KELLEHER THOMAS COLM | President | 01/20/2016 | 832,915 |
| GORMAN JAMES P | Chairman and CEO | 01/20/2016 | 448,179 |
| TRAQUINA PERRY M | Director | 11/19/2015 | 42,513 |
| OLAYAN HUTHAM S | Director | 11/19/2015 | 47,506 |
| Miscik Judith A | Director | 11/19/2015 | 19,016 |
| GLOCER THOMAS H | Director | 11/19/2015 | 52,500 |
| BOWLES ERSKINE B | Director | 11/19/2015 | 59,990 |
| ROSENTHAL JAMES A | Chief Operating Officer | 07/31/2015 | 471,000 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 07/21/2015 | 622,822 |
| Nicolaisen Donald T | Director | 05/26/2015 | 157,127 |
| OLAYAN HUTHAM S | Director | 05/19/2015 | 42,503 |
| Miscik Judith A | Director | 05/19/2015 | 15,997 |
| GLOCER THOMAS H | Director | 05/19/2015 | 50,849 |
| DAVIES HOWARD J | Director | 05/19/2015 | 185,159 |
| BOWLES ERSKINE B | Director | 05/19/2015 | 57,495 |
| DAVIES HOWARD J | Director | 05/15/2015 | 9,924 |
| DAVIES HOWARD J | Director | 05/13/2015 | 32,434 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 05/11/2015 | 1,513,960 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 04/29/2015 | 1,205,628 |
| ROSENTHAL JAMES A | Chief Operating Officer | 04/21/2015 | 1,856,113 |
| GROSSMAN ERIC F | Chief Legal Officer | 04/21/2015 | 1,279,314 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 03/02/2015 | 421,177 |
| Hotsuki Keishi | Chief Risk Officer | 03/02/2015 | 945,930 |
| GROSSMAN ERIC F | Chief Legal Officer | 03/02/2015 | 367,205 |
| ROSENTHAL JAMES A | Chief Operating Officer | 03/02/2015 | 1,694,943 |
| Porat Ruth | Chief Financial Officer | 03/02/2015 | 1,870,278 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 03/02/2015 | 1,666,132 |
| FLEMING GREGORY J | President-Wealth & Invest Mgt | 03/02/2015 | 1,835,884 |
| GORMAN JAMES P | Chairman and CEO | 03/02/2015 | 2,267,726 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/21/2015 | 1,123,780 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 12/04/2014 | 52,195 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/23/2015 | 762,189 |
| Hotsuki Keishi | Chief Risk Officer | 01/21/2015 | 1,032,006 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/21/2015 | 714,460 |
| ROSENTHAL JAMES A | Chief Operating Officer | 01/21/2015 | 1,825,522 |
| Porat Ruth | Chief Financial Officer | 01/21/2015 | 2,549,469 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 01/21/2015 | 1,490,879 |
| FLEMING GREGORY J | President-Wealth & Invest Mgt | 01/21/2015 | 2,094,348 |
| GORMAN JAMES P | Chairman and CEO | 01/21/2015 | 3,287,802 |
| TYSON LAURA D | Director | 11/26/2014 | 882,435 |
| DAVIES HOWARD J | Director | 11/15/2014 | 15,061 |
| OLAYAN HUTHAM S | Director | 11/13/2014 | 42,500 |
| GLOCER THOMAS H | Director | 11/13/2014 | 45,006 |
| BOWLES ERSKINE B | Director | 11/13/2014 | 57,502 |
| SEXTON O GRIFFITH | Director | 11/01/2014 | 42,499 |
| GROSSMAN ERIC F | Chief Legal Officer | 08/25/2014 | 1,252,410 |
| GROSSMAN ERIC F | Chief Legal Officer | 08/25/2014 | 1,868,723 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 08/25/2014 | 344,400 |
| GROSSMAN ERIC F | Chief Legal Officer | 07/23/2014 | 804,300 |
| GROSSMAN ERIC F | Chief Legal Officer | 07/23/2014 | 1,151,395 |
| FLEMING GREGORY J | President-Wealth & Invest Mgt | 07/22/2014 | 2,298,000 |
| FLEMING GREGORY J | President-Wealth & Invest Mgt | 07/22/2014 | 3,301,730 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 07/21/2014 | 89,471 |
| ROSENTHAL JAMES A | Chief Operating Officer | 07/18/2014 | 1,001,000 |
| DAVIES HOWARD J | Director | 05/15/2014 | 7,748 |
| DAVIES HOWARD J | Director | 05/14/2014 | 32,485 |
| SEXTON O GRIFFITH | Director | 05/13/2014 | 42,494 |
| OLAYAN HUTHAM S | Director | 05/13/2014 | 42,494 |
| Herz Robert H | Director | 02/05/2014 | 58 |
| Herz Robert H | Director | 01/22/2014 | 1,476 |
| GLOCER THOMAS H | Director | 05/13/2014 | 42,494 |
| BOWLES ERSKINE B | Director | 05/13/2014 | 52,501 |
| Hotsuki Keishi | Chief Risk Officer | 05/09/2014 | 104,081 |
| Hotsuki Keishi | Chief Risk Officer | 05/08/2014 | 912,662 |
| DAVIES HOWARD J | Director | 05/01/2014 | 374,040 |
| ROSENTHAL JAMES A | Chief Operating Officer | 02/12/2014 | 1,010,896 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 02/11/2014 | 755,000 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/05/2014 | 45,871 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/05/2014 | 845,404 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/28/2014 | 252,204 |
| WIRTH PAUL C | Deputy Chief Financial Officer | 01/27/2014 | 915,287 |
| Hotsuki Keishi | Chief Risk Officer | 01/27/2014 | 625,689 |
| Hotsuki Keishi | Chief Risk Officer | 01/28/2014 | 297,211 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/28/2014 | 634,663 |
| ROSENTHAL JAMES A | Chief Operating Officer | 01/28/2014 | 1,038,141 |
| ROSENTHAL JAMES A | Chief Operating Officer | 01/27/2014 | 1,167,851 |
| Porat Ruth | Chief Financial Officer | 01/28/2014 | 647,466 |
| Porat Ruth | Chief Financial Officer | 01/27/2014 | 2,752,407 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 01/28/2014 | 603,688 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 01/27/2014 | 1,575,426 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 01/29/2014 | 256,361 |
| FLEMING GREGORY J | President-Wealth & Invest Mgt | 01/28/2014 | 565,847 |
| FLEMING GREGORY J | President-Wealth & Invest Mgt | 01/27/2014 | 2,164,172 |
| GORMAN JAMES P | Chairman and CEO | 01/28/2014 | 678,980 |
| GORMAN JAMES P | Chairman and CEO | 01/27/2014 | 3,212,453 |
| DAVIES HOWARD J | Director | 11/15/2013 | 12,631 |
| Nicolaisen Donald T | Director | 11/15/2013 | 142,679 |
| ROSENTHAL JAMES A | Chief Operating Officer | 07/31/2013 | 351,062 |
| DAVIES HOWARD J | Director | 05/15/2013 | 20,131 |
| SEXTON O GRIFFITH | Director | 05/14/2013 | 46,670 |
| OLAYAN HUTHAM S | Director | 05/14/2013 | 42,496 |
| BOWLES ERSKINE B | Director | 05/14/2013 | 47,495 |
| Hotsuki Keishi | Chief Risk Officer | 02/13/2013 | 547,641 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/08/2013 | 1,296,489 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/12/2013 | 699,456 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/12/2013 | 699,456 |
| WIRTH PAUL C | Deputy CFO/Controller | 02/08/2013 | 401,455 |
| WIRTH PAUL C | Deputy CFO/Controller | 02/07/2013 | 456,328 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/06/2013 | 429,409 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/07/2013 | 665,566 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/05/2013 | 156,310 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/06/2013 | 429,409 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 01/30/2013 | 192,916 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/05/2013 | 156,310 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 01/28/2013 | 277,252 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 01/30/2013 | 192,916 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 01/28/2013 | 277,252 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/07/2013 | 665,566 |
| WIRTH PAUL C | Deputy CFO/Controller | 02/01/2013 | 648,078 |
| ROSENTHAL JAMES A | Chief Operating Officer | 02/01/2013 | 725,663 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 02/01/2013 | 1,822,811 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 02/04/2013 | 1,338,942 |
| Hotsuki Keishi | Chief Risk Officer | 02/01/2013 | 318,772 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/01/2013 | 192,912 |
| GROSSMAN ERIC F | Chief Legal Officer | 02/04/2013 | 316,397 |
| FLEMING GREGORY J | President, GWM/Investment Mgt. | 02/01/2013 | 551,155 |
| Porat Ruth | Chief Financial Officer | 02/01/2013 | 1,318,950 |
| GORMAN JAMES P | Chairman and CEO | 02/01/2013 | 1,906,469 |
| WIRTH PAUL C | Deputy CFO/Controller | 01/22/2013 | 15,511 |
| WIRTH PAUL C | Deputy CFO/Controller | 01/22/2013 | 854,901 |
| Hotsuki Keishi | Chief Risk Officer | 01/22/2013 | 842,112 |
| KELLEHER THOMAS COLM | President, Inst'l Securities | 01/22/2013 | 1,188,972 |
| SEXTON O GRIFFITH | Director | 11/15/2012 | 46,665 |
| OLAYAN HUTHAM S | Director | 11/15/2012 | 42,507 |
| BOWLES ERSKINE B | Director | 11/15/2012 | 47,494 |
| DAVIES HOWARD J | Director | 11/01/2012 | 7,183 |
| DAVIES HOWARD J | Director | 05/18/2012 | 12,565 |
| SEXTON O GRIFFITH | Director | 05/15/2012 | 42,501 |
| OLAYAN HUTHAM S | Director | 05/15/2012 | 42,501 |
| BOWLES ERSKINE B | Director | 05/15/2012 | 47,501 |
| ROSENTHAL JAMES A | Chief Operating Officer | 03/05/2012 | 335,432 |
| FLEMING GREGORY J | President-Asset Mgt/GWM | 02/08/2012 | 936,089 |
| WIRTH PAUL C | Deputy CFO/Controller | 01/20/2012 | 425,856 |
| Taubman Paul J | Co-President-Inst'l Securities | 01/20/2012 | 685,226 |
| ROSENTHAL JAMES A | Chief Operating Officer | 01/20/2012 | 380,846 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/20/2012 | 133,273 |
| GROSSMAN ERIC F | Chief Legal Officer | 01/23/2012 | 227,366 |
| Porat Ruth | Chief Financial Officer | 01/20/2012 | 615,844 |
| Hotsuki Keishi | Chief Risk Officer | 01/20/2012 | 204,013 |
| KELLEHER THOMAS COLM | Co-President-Inst'l Securities | 01/20/2012 | 489,512 |
| GORMAN JAMES P | Chairman of the Board and CEO | 01/20/2012 | 764,555 |
| Taubman Paul J | Co-President-Inst'l Securities | 01/03/2012 | 321,424 |
| Porat Ruth | Chief Financial Officer | 01/03/2012 | 192,864 |
| SEXTON O GRIFFITH | Director | 11/18/2011 | 42,497 |
| OLAYAN HUTHAM S | Director | 11/18/2011 | 42,497 |
| BOWLES ERSKINE B | Director | 11/18/2011 | 47,496 |
| DAVIES HOWARD J | Director | 11/01/2011 | 6,592 |
| MITSUBISHI UFJ FINANCIAL GROUP INC | 10% Owner | 06/30/2011 | 7,840,339,792 |
| OLAYAN HUTHAM S | Director | 08/05/2011 | 100,000 |
| Taubman Paul J | Co-President-Inst'l Securities | 08/04/2011 | 1,019,235 |
| Porat Ruth | Chief Financial Officer | 08/04/2011 | 512,500 |
| GORMAN JAMES P | President and CEO | 08/04/2011 | 2,062,070 |
| OWENS JAMES W | Director | 08/02/2011 | 110,200 |
| ROSENTHAL JAMES A | Chief Operating Officer | 07/22/2011 | 189,785 |
| ROSENTHAL JAMES A | Chief Operating Officer | 05/20/2011 | 851,709 |
| Hotsuki Keishi | Chief Risk Officer | 05/20/2011 | 296,786 |
| SEXTON O GRIFFITH | Director | 05/18/2011 | 45,006 |
| OLAYAN HUTHAM S | Director | 05/18/2011 | 42,494 |
| DAVIES HOWARD J | Director | 05/18/2011 | 18,271 |
| BOWLES ERSKINE B | Director | 05/18/2011 | 47,494 |
| ROSENTHAL JAMES A | Chief Operating Officer | 02/15/2011 | 39,750 |
| Porat Ruth | Chief Financial Officer | 02/14/2011 | 16,519 |
| WIRTH PAUL C | Finance Director/Controller | 02/09/2011 | 29,990 |
| FLEMING GREGORY J | President-Asset Mgt/GWM | 02/08/2011 | 1,555,625 |
| WIRTH PAUL C | Finance Director/Controller | 02/07/2011 | 538,934 |
| KELLEHER THOMAS COLM | Co-President Inst'l Securities | 02/07/2011 | 1,504,076 |
| WIRTH PAUL C | Finance Director/Controller | 01/21/2011 | 337,437 |
| Porat Ruth | Chief Financial Officer | 01/21/2011 | 1,202,248 |
| KELLEHER THOMAS COLM | Co-President-Inst'l Securities | 01/21/2011 | 661,414 |
| Porat Ruth | Chief Financial Officer | 01/03/2011 | 339,102 |
| SEXTON O GRIFFITH | Director | 11/18/2010 | 45,004 |
| SEXTON O GRIFFITH | Director | 11/18/2010 | 45,004 |
| OLAYAN HUTHAM S | Director | 11/18/2010 | 42,501 |
| OLAYAN HUTHAM S | Director | 11/18/2010 | 42,501 |
| BOWLES ERSKINE B | Director | 11/18/2010 | 47,507 |
| BOWLES ERSKINE B | Director | 11/18/2010 | 47,507 |
| DAVIES HOWARD J | Director | 11/01/2010 | 9,990 |
| DAVIES HOWARD J | Director | 11/01/2010 | 9,990 |
| MACK JOHN J | Chairman of the Board | 10/21/2010 | 718,165 |
| MACK JOHN J | Chairman of the Board | 10/21/2010 | 718,165 |
| NIDES THOMAS R | Chief Operating Officer | 10/07/2010 | 716,630 |
| MACK JOHN J | Chairman of the Board | 10/07/2010 | 2,692,044 |
| MACK JOHN J | Chairman of the Board | 10/07/2010 | 2,692,044 |
| CHAMMAH WALID A | Chairman/CEO of MS Int'l | 10/07/2010 | 2,096,538 |
| NIDES THOMAS R | Chief Operating Officer | 09/01/2010 | 255,571 |
| CHINA INVESTMENT CORP | 10% Owner | 08/09/2010 | 43,872,000 |
| CHINA INVESTMENT CORP | 10% Owner | 08/03/2010 | 36,051,201 |
| CHINA INVESTMENT CORP | 10% Owner | 08/02/2010 | 55,099,998 |
| CHINA INVESTMENT CORP | 10% Owner | 07/30/2010 | 90,514,001 |
| CHINA INVESTMENT CORP | 10% Owner | 07/29/2010 | 70,434,000 |
| CHINA INVESTMENT CORP | 10% Owner | 07/23/2010 | 50,718,749 |
| CHINA INVESTMENT CORP | 10% Owner | 07/26/2010 | 74,360,003 |
| CHINA INVESTMENT CORP | 10% Owner | 07/22/2010 | 15,599,750 |
| CHINA INVESTMENT CORP | 10% Owner | 07/21/2010 | 122,944,250 |
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FUNDS WITH A POSITION IN MORGAN STANLEY
| Fund | # Shares Owned | % of Portfolio | % Change | Investing Style |
|---|---|---|---|---|
| BLACKROCK INC. | 90,499,215 | 0.22% | 3.28% | Other |
| GEODE CAPITAL MANAGEMENT, LLC | 23,861,892 | 0.23% | 1.02% | Other |
| FISHER ASSET MANAGEMENT, LLC | 20,228,334 | 1% | 2.51% | Other |
| CAPITAL RESEARCH GLOBAL INVESTORS | 17,139,623 | 0.39% | -27.03% | Growth At A Reasonable Price |
| CAPITAL WORLD INVESTORS | 7,207,324 | 0.12% | 0.45% | Growth At A Reasonable Price |
| D. E. SHAW & CO., INC. | 1,516,200 (Call) | 0.12% | 29.13% | Other |
| ADAGE CAPITAL PARTNERS GP, L.L.C. | 1,227,734 | 0.24% | -3.22% | Other |
| D. E. SHAW & CO., INC. | 1,047,900 (Put) | 0.09% | 13.08% | Other |
| PZENA INVESTMENT MANAGEMENT LLC | 749,791 | 0.26% | 0.07% | Value |
| BALYASNY ASSET MANAGEMENT L.P. | 600,100 (Put) | 0.11% | -20.2% | Event Driven |
| HOLOCENE ADVISORS, LP | 372,818 | 0.14% | New | Growth At A Reasonable Price |
| BALYASNY ASSET MANAGEMENT L.P. | 360,100 (Call) | 0.06% | 2.97% | Event Driven |
| D. E. SHAW & CO., INC. | 298,585 | 0.02% | -84.33% | Other |
| GABELLI FUNDS LLC | 271,471 | 0.19% | 4.83% | Event Driven, Growth, Activists |
| CANDRIAM S.C.A. | 226,252 | 0.15% | -54.73% | Other |
| BALYASNY ASSET MANAGEMENT L.P. | 151,084 | 0.03% | 62.97% | Event Driven |
| EAGLE CAPITAL MANAGEMENT LLC | 128,817 | 0.05% | -32.89% | Growth At A Reasonable Price |
| EASTERLY INVESTMENT PARTNERS LLC | 126,976 | 1.27% | 2.57% | Other |
| DUPONT CAPITAL MANAGEMENT CORP | 112,672 | 0.92% | -2.53% | Other |
| AQR CAPITAL MANAGEMENT LLC | 103,813 | 0.02% | -1.34% | Other |
| HOTCHKIS & WILEY CAPITAL MANAGEMENT LLC | 83,095 | 0.03% | 2669.83% | Value |
| INFRASTRUCTURE CAPITAL ADVISORS, LLC | 34,562 | 0.46% | 963.45% | Other |
| GOTHAM ASSET MANAGEMENT, LLC | 25,295 | 0.04% | 62.26% | Other |
| FULLER & THALER ASSET MANAGEMENT, INC. | 4,864 | 0.0023% | 26.7% | Other |
| SUVRETTA CAPITAL MANAGEMENT, LLC | 4,800 | 0.02% | New | Growth At A Reasonable Price |
| BRIDGEWATER ASSOCIATES, LP | 4,483 | 0.00234% | 39.96% | Other |
| ALPINE GLOBAL MANAGEMENT, LLC | 2,499 | 0.07% | New | Event Driven |
CHANGE IN SHARES OUTSTANDING FOR MORGAN STANLEY
STOCK BUYBACKS FOR MORGAN STANLEY
Period of Report
Previous Period
% Change in Shares
10-K/10-Q Filings
Quarter
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Period of Report: 12/31/2023
10-K/10-Q Filings: View
Previous Period
% Change in Shares
Quarter
09/30/2023
-1.10%
1Q
06/30/2023
-1.57%
2Q
03/31/2023
-2.29%
3Q
12/31/2022
-3.10%
4Q
09/30/2022
-4.24%
5Q
06/30/2022
-5.69%
6Q
03/31/2022
-7.41%
7Q
12/31/2021
-8.91%
8Q
09/30/2021
-10.32%
9Q
06/30/2021
-11.73%
10Q
03/31/2021
-10.62%
11Q
12/31/2020
-9.77%
12Q
09/30/2020
3.77%
13Q
06/30/2020
4.37%
14Q
03/31/2020
3.31%
15Q
12/31/2019
1.50%
16Q
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BUYBACK ANNOUNCEMENT(S) FOR MORGAN STANLEY
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