SEC Form 4 · accession 0000899243-19-001746
MORGAN STANLEY · MS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
MITSUBISHI UFJ FINANCIAL GROUP INC
10% Owner
Period of report
Jan 18, 2019
Accepted (ET)
Jan 23, 2019 · 6:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000895421
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1 | Jan 18, 2019 | X | 700,000 | $46.00 | D | 412,270,202 | I | Through Subsidiary |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Call Option (obligation to sell)F2,F3,F1 | $46.00 | Jan 18, 2019 | E | 7,000 | D | Nov 5, 2018 | Jan 18, 2019 | Common Shares | 700,000 | 7,000 | I |
| Put Option (right to sell)F3,F1 | $46.00 | Jan 18, 2019 | X | 7,000 | D | Nov 5, 2018 | Jan 18, 2019 | Common Shares | 700,000 | 7,000 | I |
Explanation of responses
- F1The reported transactions were effected by a wholly owned subsidiary of the Reporting Person.
- F2The premium received from writing the call options, which occurred on November 5, 2018, has been disgorged to the Issuer.
- F3Each option contract represents 100 Common Shares.