Company · CIK 0000895421 · SIC 6211 — Security Brokers, Dealers & Flotation Companies · NYSE

MORGAN STANLEY · MS

Insider activity reported against this company. All insider holders · Files at: EVF, BE, EVV, CAAS, INNL, CXDC, PHF, JSD and 2 more. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market activity at this companybuys $0 · 0sales $159.4M · 54net −$159.4M

Open-market trades as an insider elsewherebuys $997k · 10sales $29.0M · 6net −$28.0M

Reported at this company — common stock

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake	Flags
Sep 22, 2026 DForm 4 →	Sep 24, 6:10 am EDT	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	1,340,519	$212.57	$284,950,638	375,330,252	—	10b5-1
Jul 30, 2026 DForm 4 →	Aug 3, 6:15 am EDT	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	414,396	$213.28	$88,383,622	376,670,771	—	10b5-1
Jul 28, 2026 GForm 4 →	Jul 29, 4:06 pm EDT	Mary L SchapiroDirector	2,325	—	—	38,518	—
Jul 28, 2026 SForm 4 →	Jul 29, 4:06 pm EDT	Mary L SchapiroDirector	1,000	$212.06	$212,055	40,843	−2.39%
Jul 17, 2026 SForm 4 →	Jul 17, 4:06 pm EDT	Michael A. PizziHead Technology & Operations	24,165	$215.55	$5,208,825	121,770	−16.6%
Jul 16, 2026 SForm 4 →	Jul 17, 4:07 pm EDT	Sharon YeshayaChief Financial Officer	15,554	$222.51	$3,460,921	0	−100%
Feb 26, 2019 SForm 4 →	Feb 28, 4:13 pm EST	Paul C WirthDeputy Chief Financial Officer	25,000	$42.40	$1,060,073	169,031	−12.9%	plan?
Feb 26, 2019 AFForm 4 →	Feb 28, 4:11 pm EST	Jeffrey S BrodskyChief Human Resources Officer	59,508	$42.19	$825,279	133,179	—	plan?
Feb 26, 2019 AFForm 4 →	Feb 28, 4:11 pm EST	Keishi HotsukiChief Risk Officer	78,299	$42.19	$1,085,886	254,842	—	plan?
Feb 26, 2019 AFForm 4 →	Feb 28, 4:09 pm EST	Eric F GrossmanChief Legal Officer	95,365	$42.19	$1,326,876	260,242	—	plan?
Feb 26, 2019 AFForm 4 →	Feb 28, 4:08 pm EST	Daniel A SimkowitzHead of Investment Management	126,267	$42.19	$1,850,327	186,089	—	plan?
Feb 26, 2019 AFForm 4 →	Feb 28, 4:07 pm EST	Jonathan PruzanChief Financial Officer	105,777	$42.19	$1,554,280	166,224	—	plan?
Feb 26, 2019 AFForm 4 →	Feb 28, 4:06 pm EST	Thomas Colm KelleherPresident	211,314	$42.19	$3,081,473	978,989	—	plan?
Jan 29, 2019 DForm 4 →	Jan 31, 9:45 am EST	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	1,167,007	$42.54	$49,642,727	411,103,195	—	plan?
Jan 22, 2019 AFGForm 4 →	Feb 28, 4:04 pm EST	James P GormanChairman and CEO, Director	384,304	$42.19	$5,529,759	1,453,155	—	plan? late
Jan 18, 2019 XForm 4 →	Jan 23, 6:01 pm EST	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	700,000	$46.00	$32,200,000	412,270,202	—	plan?
Jan 18, 2019 SForm 4 →	Jan 23, 4:53 pm EST	Jeffrey S BrodskyChief Human Resources Officer	15,565	$43.38	$675,152	112,420	−12.2%	plan?
Jan 18, 2019 AFForm 4 →	Jan 18, 4:31 pm EST	Paul C WirthDeputy Chief Financial Officer	72,815	$42.53	$1,456,312	193,173	—	plan?
Jan 18, 2019 AFForm 4 →	Jan 18, 4:30 pm EST	Jeffrey S BrodskyChief Human Resources Officer	28,720	$42.53	$479,781	127,985	—	plan?
Jan 18, 2019 AFForm 4 →	Jan 18, 4:29 pm EST	Keishi HotsukiChief Risk Officer	41,876	$42.53	$744,615	227,498	—	plan?
Jan 18, 2019 AFForm 4 →	Jan 18, 4:28 pm EST	Eric F GrossmanChief Legal Officer	51,737	$42.53	$918,435	227,103	—	plan?
Jan 18, 2019 AFForm 4 →	Jan 18, 4:27 pm EST	Daniel A SimkowitzHead of Investment Management	66,399	$42.53	$1,419,184	146,764	—	plan?
Jan 18, 2019 AFForm 4 →	Jan 18, 4:26 pm EST	Jonathan PruzanChief Financial Officer	59,490	$42.53	$1,125,344	133,404	—	plan?
Jan 18, 2019 AFForm 4 →	Jan 18, 4:25 pm EST	Thomas Colm KelleherPresident	162,658	$42.53	$522,821	912,004	—	plan?
Jan 18, 2019 AFForm 4 →	Jan 18, 4:23 pm EST	James P GormanChairman and CEO, Director	255,026	$42.53	$4,092,662	1,343,309	—	plan?
Dec 20, 2018 DForm 4 →	Dec 26, 10:28 am EST	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	5,408,450	$43.28	$234,065,277	412,970,202	—	plan? late
Dec 1, 2018 AForm 4 →	Dec 4, 4:18 pm EST	Perry M TraquinaDirector	1,299	$44.27	$57,500	36,880	—	plan?
Dec 1, 2018 AForm 4 →	Dec 4, 4:17 pm EST	Mary L SchapiroDirector	640	$44.27	$28,333	4,796	—	plan?
Dec 1, 2018 AForm 4 →	Dec 4, 4:16 pm EST	Hutham S OlayanDirector	1,073	$44.27	$47,500	166,291	—	plan?
Dec 1, 2018 AForm 4 →	Dec 4, 4:15 pm EST	Thomas H GlocerDirector	1,638	$44.27	$72,500	65,497	—	plan?
Dec 1, 2018 AForm 4 →	Dec 4, 4:14 pm EST	Elizabeth CorleyDirector	960	$44.27	$42,500	7,680	—	plan?
Nov 1, 2018 GForm 4 →	Nov 28, 4:10 pm EST	Keishi HotsukiChief Risk Officer	11,000	—	—	220,639	—	plan? late
Oct 30, 2018 DForm 4 →	Oct 31, 6:10 am EDT	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	1,727,280	$45.32	$78,287,584	417,640,652	—	plan?
Sep 21, 2018 DForm 4 →	Sep 25, 6:39 am EDT	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	5,053,616	$48.96	$247,446,265	419,367,932	—	plan?
Aug 1, 2018 AForm 4 →	Aug 2, 5:02 pm EDT	Mary L SchapiroDirector	4,128	—	—	4,128	—	plan?
Jul 27, 2018 DForm 4 →	Jul 30, 6:06 am EDT	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	1,285,200	$50.77	$65,253,717	424,421,548	—	plan?
Jul 23, 2018 GForm 4 →	Aug 29, 4:32 pm EDT	James P GormanChairman and CEO, Director	5,895	—	—	1,278,436	—	plan? late
Jun 22, 2018 DForm 4 →	Jun 25, 6:05 am EDT	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	5,439,204	$52.28	$284,341,460	425,706,748	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:24 pm EDT	Rayford Wilkins Jr.Director	4,652	—	—	43,384	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:22 pm EDT	Perry M TraquinaDirector	5,722	$53.74	$57,500	35,116	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:21 pm EDT	James W OwensDirector	884	$53.74	$47,500	82,783	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:19 pm EDT	Hutham S OlayanDirector	5,536	$53.74	$47,500	163,166	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:18 pm EDT	Dennis M NallyDirector	4,652	—	—	15,245	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:18 pm EDT	Judith A MiscikDirector	4,652	—	—	32,831	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:16 pm EDT	Robert H HerzDirector	4,652	—	—	63,268	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:15 pm EDT	Thomas H GlocerDirector	6,001	$53.74	$72,500	63,085	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:12 pm EDT	Alistair DarlingDirector	4,652	—	—	18,499	—	plan?
May 24, 2018 AForm 4 →	May 29, 4:10 pm EDT	Elizabeth CorleyDirector	5,164	$53.74	$27,500	6,632	—	plan?
May 22, 2018 FForm 4 →	May 24, 4:39 pm EDT	Alistair DarlingDirector	485	$55.04	$26,695	13,847	—	plan?
Apr 26, 2018 DForm 4 →	Apr 27, 6:05 am EDT	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	871,200	$53.42	$46,540,898	431,145,952	—	plan?
Feb 27, 2018 AFForm 4 →	Mar 1, 4:23 pm EST	Jeffrey S BrodskyChief Human Resources Officer	53,118	$57.01	$995,452	120,702	—	plan?
Feb 27, 2018 AFForm 4 →	Mar 1, 4:21 pm EST	Keishi HotsukiChief Risk Officer	66,396	$57.01	$1,244,243	230,051	—	plan?
Feb 27, 2018 AFForm 4 →	Mar 1, 4:18 pm EST	Eric F GrossmanChief Legal Officer	79,677	$57.01	$1,493,149	216,492	—	plan?
Feb 27, 2018 AFForm 4 →	Mar 1, 4:16 pm EST	Thomas Colm KelleherPresident	214,971	$57.01	$4,124,103	771,782	—	plan?
Feb 26, 2018 SForm 4 →	Feb 28, 4:48 pm EST	Paul C WirthDeputy Chief Financial Officer	20,000	$56.91	$1,138,110	186,003	−9.71%	plan?
Feb 16, 2018 AFGForm 4 →	Mar 1, 4:14 pm EST	James P GormanChairman and CEO, Director	320,869	$57.01	$5,860,172	52,400	—	plan? late
Feb 16, 2018 SForm 4 →	Feb 16, 4:19 pm EST	Jonathan PruzanChief Financial Officer	52,204	$55.35	$2,889,361	124,613	−29.5%	plan?
Feb 15, 2018 SForm 4 →	Feb 16, 4:16 pm EST	James P GormanChairman and CEO, Director	100,000	$55.34	$5,533,810	1,235,468	−7.49%	plan?
Feb 14, 2018 SForm 4 →	Feb 16, 4:18 pm EST	Jeffrey S BrodskyChief Human Resources Officer	11,054	$54.97	$607,600	102,221	−9.76%	plan?
Feb 14, 2018 SForm 4 →	Feb 16, 4:17 pm EST	Eric F GrossmanChief Legal Officer	17,421	$54.72	$953,296	188,674	−8.45%	plan?
Feb 14, 2018 GForm 4 →	Feb 16, 4:16 pm EST	James P GormanChairman and CEO, Director	6,244	—	—	1,335,468	—	plan?
Feb 13, 2018 GForm 4 →	Feb 15, 4:09 pm EST	Daniel A SimkowitzHead of Investment Management	9,371	—	—	176,057	—	plan?
Feb 13, 2018 SForm 4 →	Feb 15, 4:09 pm EST	Daniel A SimkowitzHead of Investment Management	87,050	$53.55	$4,661,615	143,876	−37.7%	plan?
Feb 1, 2018 ADForm 4 →	Feb 5, 4:24 pm EST	Erskine B BowlesDirector	1,914	$57.02	$23,750	159,236	—	plan?
Feb 1, 2018 AForm 4 →	Feb 5, 4:13 pm EST	Elizabeth CorleyDirector	1,462	—	—	1,462	—	plan?
Jan 19, 2018 AFForm 4 →	Jan 19, 4:42 pm EST	Paul C WirthDeputy Chief Financial Officer	69,516	$55.84	$2,004,042	205,285	—	plan?
Jan 19, 2018 AFForm 4 →	Jan 19, 4:41 pm EST	Jeffrey S BrodskyChief Human Resources Officer	30,639	$55.84	$825,427	113,275	—	plan?
Jan 19, 2018 AFForm 4 →	Jan 19, 4:40 pm EST	Keishi HotsukiChief Risk Officer	44,396	$55.84	$1,249,755	206,903	—	plan?
Jan 19, 2018 AFForm 4 →	Jan 19, 4:39 pm EST	Eric F GrossmanChief Legal Officer	58,998	$55.84	$1,672,185	206,095	—	plan?
Jan 19, 2018 AFForm 4 →	Jan 19, 4:38 pm EST	Daniel A SimkowitzHead of Investment Management	103,302	$55.84	$3,900,480	240,297	—	plan?
Jan 19, 2018 AFForm 4 →	Jan 19, 4:37 pm EST	Jonathan PruzanChief Financial Officer	85,914	$55.84	$3,027,812	176,255	—	plan?
Jan 19, 2018 AFForm 4 →	Jan 19, 4:36 pm EST	Thomas Colm KelleherPresident	59,771	$55.84	$1,440,225	700,947	—	plan?
Jan 19, 2018 AFForm 4 →	Jan 19, 4:34 pm EST	James P GormanChairman and CEO, Director	90,562	$55.84	$3,895,957	1,341,712	—	plan?
Nov 28, 2017 SForm 4 →	Nov 30, 4:05 pm EST	Keishi HotsukiChief Risk Officer	25,000	$50.00	$1,250,000	207,270	−10.8%	plan?
Nov 24, 2017 SForm 4 →	Nov 27, 4:39 pm EST	Alistair DarlingDirector	3,850	$49.29	$189,785	14,218	−21.3%	plan?
Nov 22, 2017 AForm 4 →	Nov 27, 4:44 pm EST	Perry M TraquinaDirector	1,167	$49.25	$57,500	29,135	—	plan?
Nov 22, 2017 AForm 4 →	Nov 27, 4:42 pm EST	James W OwensDirector	1,032	$49.25	$50,833	81,339	—	plan?
Nov 22, 2017 AForm 4 →	Nov 27, 4:41 pm EST	Hutham S OlayanDirector	964	$49.25	$47,500	156,286	—	plan?
Nov 22, 2017 AForm 4 →	Nov 27, 4:40 pm EST	Thomas H GlocerDirector	1,201	$49.25	$59,167	56,616	—	plan?
Nov 22, 2017 AForm 4 →	Nov 27, 4:38 pm EST	Erskine B BowlesDirector	1,303	$49.25	$64,167	160,335	—	plan?
Nov 20, 2017 GForm 4 →	Nov 30, 4:05 pm EST	Keishi HotsukiChief Risk Officer	10,000	—	—	232,270	—	plan? late
Oct 23, 2017 SForm 4 →	Oct 25, 4:07 pm EDT	Thomas Colm KelleherPresident	40,000	$50.59	$2,023,516	692,037	−5.46%	plan?
Oct 18, 2017 SForm 4 →	Oct 20, 4:16 pm EDT	Eric F GrossmanChief Legal Officer	26,083	$49.83	$1,299,638	206,203	−11.2%	plan?
Oct 18, 2017 SForm 4 →	Oct 20, 4:15 pm EDT	Jeffrey S BrodskyChief Human Resources Officer	16,397	$50.07	$821,024	111,776	−12.8%	plan?
Aug 1, 2017 SForm 4 →	Aug 3, 4:06 pm EDT	James P GormanChairman and CEO, Director	212,366	$47.26	$10,037,012	1,390,243	−13.3%	plan?
Aug 1, 2017 GMForm 4 →	Aug 3, 4:06 pm EDT	James P GormanChairman and CEO, Director	216,595	$30.01	$6,373,104	1,386,014	—	plan?
Jul 20, 2017 SForm 4 →	Jul 21, 4:05 pm EDT	Jonathan PruzanChief Financial Officer	25,767	$46.68	$1,202,834	196,708	−11.6%	plan?
May 22, 2017 AForm 4 →	May 24, 4:35 pm EDT	Rayford Wilkins Jr.Director	5,991	—	—	38,290	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:34 pm EDT	Perry M TraquinaDirector	7,189	$41.73	$50,000	27,675	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:32 pm EDT	James W OwensDirector	5,991	—	—	79,668	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:28 pm EDT	Hutham S OlayanDirector	7,130	$41.73	$47,500	153,781	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:22 pm EDT	Dennis M NallyDirector	5,991	—	—	10,409	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:20 pm EDT	Judith A MiscikDirector	5,991	—	—	27,827	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:19 pm EDT	Robert H HerzDirector	5,991	—	—	57,827	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:17 pm EDT	Thomas H GlocerDirector	7,249	$41.73	$52,500	54,882	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:15 pm EDT	Alistair DarlingDirector	5,991	—	—	17,936	—	plan?
May 22, 2017 AForm 4 →	May 24, 4:13 pm EDT	Erskine B BowlesDirector	7,729	$41.73	$72,500	157,369	—	plan?
May 17, 2017 FForm 4 →	May 19, 4:27 pm EDT	Alistair DarlingDirector	810	$41.15	$33,335	11,945	—	plan?
May 10, 2017 SForm 4 →	May 12, 4:07 pm EDT	James P GormanChairman and CEO, Director	212,365	$42.93	$9,117,530	1,388,213	−13.3%	plan?
Apr 26, 2017 GMForm 4 →	May 12, 4:07 pm EDT	James P GormanChairman and CEO, Director	214,654	$30.01	$6,373,074	1,600,578	—	plan? late

Reported at this company — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Insider	Shares	Avg price	Total	Owned after	Δ stake
Jan 18, 2019 EXForm 4 →	Jan 23, 6:01 pm EST	MITSUBISHI UFJ FINANCIAL GROUP INC10% Owner	14,000	—	—	7,000	—
Aug 1, 2017 MForm 4 →	Aug 3, 4:06 pm EDT	James P GormanChairman and CEO, Director	212,366	—	—	0	—
May 10, 2017 MForm 4 →	May 12, 4:07 pm EDT	James P GormanChairman and CEO, Director	212,365	—	—	212,366	—
Feb 8, 2017 MForm 4 →	Feb 10, 4:04 pm EST	Thomas Colm KelleherPresident	182,027	—	—	0	—
Jan 19, 2017 MForm 4 →	Jan 20, 4:03 pm EST	James P GormanChairman and CEO, Director	284,827	—	—	0	—
Dec 1, 2016 MForm 4 →	Dec 2, 4:06 pm EST	Daniel A SimkowitzHead of Investment Management	121,351	—	—	0	—
Nov 18, 2016 MForm 4 →	Nov 21, 4:06 pm EST	James A RosenthalChief Operating Officer	121,351	—	—	0	—
Nov 14, 2016 MForm 4 →	Nov 16, 4:11 pm EST	Paul C WirthDeputy Chief Financial Officer	60,675	—	—	0	—
Nov 14, 2016 MForm 4 →	Nov 16, 4:10 pm EST	Jeffrey S BrodskyChief Human Resources Officer	60,675	—	—	0	—
Nov 11, 2016 MForm 4 →	Nov 14, 6:18 pm EST	James P GormanChairman and CEO, Director	200,000	—	—	284,827	—
Nov 11, 2016 MForm 4 →	Nov 14, 6:16 pm EST	Eric F GrossmanChief Legal Officer	60,675	—	—	0	—
Nov 10, 2016 MForm 4 →	Nov 14, 6:17 pm EST	Thomas Colm KelleherPresident	222,713	—	—	0	—
Oct 27, 2016 MForm 4 →	Oct 31, 4:07 pm EDT	James A RosenthalChief Operating Officer	74,009	—	—	0	—
Oct 21, 2016 MForm 4 →	Oct 24, 4:35 pm EDT	Eric F GrossmanChief Legal Officer	247,570	—	—	0	—
Oct 20, 2016 MForm 4 →	Oct 24, 4:34 pm EDT	James A RosenthalChief Operating Officer	200,000	—	—	74,009	—
Oct 20, 2016 MForm 4 →	Oct 24, 4:32 pm EDT	Thomas Colm KelleherPresident	222,712	—	—	222,713	—
Aug 17, 2016 MForm 4 →	Aug 18, 4:14 pm EDT	Keishi HotsukiChief Risk Officer	230,870	—	—	0	—
Jul 25, 2016 MForm 4 →	Jul 27, 4:53 pm EDT	James A RosenthalChief Operating Officer	100,000	—	—	274,009	—

Filed by this entity as an insider elsewhere — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Sep 15, 2026 JForm 4 →	Sep 17, 5:07 pm EDT	Eaton Vance Senior Income TrustEVF	94	—	—	0	—
Nov 26, 2018 SForm 4 →	Nov 28, 7:45 pm EST	Bloom Energy CorpBE	31	$15.03	$466	1,638	−1.86%	plan?
Sep 19, 2018 SForm 4 →	Sep 21, 4:37 pm EDT	EATON VANCE LTD DURATION INCOME FUNDEVV	557	$23,000.00	$12,811,000	584	−48.8%	plan?
Sep 19, 2018 SForm 4 →	Sep 21, 4:36 pm EDT	EATON VANCE SENIOR INCOME TRUSTEVF	327	$23,000.00	$7,521,000	94	−77.7%	plan?
Jul 24, 2017 SForm 4 →	Jul 28, 8:23 pm EDT	Innocoll Holdings plcINNL	3,365,978	—	—	0	—	plan? late
Sep 27, 2016 SForm 4 →	Sep 28, 4:31 pm EDT	EATON VANCE SENIOR INCOME TRUSTEVF	357	$23,750.00	$8,478,750	421	−45.9%	plan?
Apr 13, 2016 JForm 4 →	Apr 15, 3:15 pm EDT	PACHOLDER HIGH YIELD FUND INCPHF	486	$25,000.00	$12,150,000	0	—	plan?
Jan 29, 2016 SForm 4 →	Mar 11, 4:43 pm EST	Nuveen Short Duration Credit Opportunities FundJSD	8,224	$14.15	$116,397	0	−100%	plan? late
Jan 29, 2016 PForm 4 →	Mar 11, 4:43 pm EST	Nuveen Short Duration Credit Opportunities FundJSD	6,294	$14.63	$92,091	0	—	plan? late
Jan 13, 2016 SForm 4 →	Mar 11, 4:39 pm EST	Nuveen Short Duration Credit Opportunities FundJSD	3,249	$14.13	$45,923	1,930	−62.7%	plan? late
Jan 4, 2016 PForm 4 →	Mar 11, 4:39 pm EST	Nuveen Short Duration Credit Opportunities FundJSD	3,867	$14.21	$54,947	2,430	—	plan? late
Oct 28, 2015 PForm 4 →	Oct 29, 4:22 pm EDT	EATON VANCE LTD DURATION INCOME FUNDEVV	1	$25,000.00	$25,000	1,141	+0.09%	plan?
Oct 13, 2015 PForm 4 →	Oct 15, 6:57 pm EDT	EATON VANCE SENIOR INCOME TRUSTEVF	19	$25,000.00	$475,000	778	+2.50%	plan?
Sep 11, 2015 PForm 4 →	Sep 15, 4:35 pm EDT	EATON VANCE LTD DURATION INCOME FUNDEVV	2	$25,000.00	$50,000	1,140	+0.18%	plan?
Sep 2, 2015 PForm 4 →	Sep 4, 3:35 pm EDT	EATON VANCE SENIOR INCOME TRUSTEVF	1	$25,000.00	$25,000	759	+0.13%	plan?
Sep 2, 2015 PForm 4 →	Sep 4, 3:33 pm EDT	EATON VANCE LTD DURATION INCOME FUNDEVV	4	$25,000.00	$100,000	1,138	+0.35%	plan?
Aug 12, 2015 PForm 4 →	Aug 14, 2:52 pm EDT	EATON VANCE LTD DURATION INCOME FUNDEVV	1	$25,000.00	$25,000	1,134	+0.09%	plan?
Jul 28, 2015 PForm 4 →	Jul 30, 5:16 pm EDT	EATON VANCE LTD DURATION INCOME FUNDEVV	1	$25,000.00	$25,000	1,133	+0.09%	plan?
Jul 16, 2015 PForm 4 →	Jul 20, 6:24 pm EDT	EATON VANCE LTD DURATION INCOME FUNDEVV	5	$25,000.00	$125,000	1,132	+0.44%	plan?

Filed by this entity as an insider elsewhere — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Nov 26, 2018 PSForm 4 →	Nov 28, 7:45 pm EST	Bloom Energy CorpBE	22	$3.70	$81	10	—
Jul 24, 2017 EForm 4 →	Jul 28, 8:23 pm EDT	Innocoll Holdings plcINNL	795,980	—	—	0	—	late
Jan 24, 2014 ADForm 4 →	Feb 17, 2017, 4:45 pm EST	China XD Plastics Co LtdCXDC	32,000,000	—	—	16,000,000	—	late