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
Mar 1, 2017 AFForm 4 →	Mar 3, 4:42 pm EST	Jeffrey S BrodskyChief Human Resources Officer	48,876	$45.67	$759,446	127,365	—	plan?
Mar 1, 2017 AFForm 4 →	Mar 3, 4:42 pm EST	Keishi HotsukiChief Risk Officer	60,513	$45.67	$940,254	240,511	—	plan?
Mar 1, 2017 AFForm 4 →	Mar 3, 4:07 pm EST	Eric F GrossmanChief Legal Officer	74,479	$45.67	$1,157,278	230,788	—	plan?
Mar 1, 2017 AFForm 4 →	Mar 3, 4:05 pm EST	Thomas Colm KelleherPresident	221,601	$45.67	$3,341,172	730,657	—	plan?
Feb 15, 2017 FForm 4 →	Feb 17, 4:16 pm EST	Alistair DarlingDirector	1	$46.48	$46	12,703	—	plan?
Feb 14, 2017 SForm 4 →	Feb 15, 4:15 pm EST	Paul C WirthDeputy Chief Financial Officer	12,481	$46.04	$574,563	203,557	−5.78%	plan?
Feb 8, 2017 SForm 4 →	Feb 10, 4:04 pm EST	Thomas Colm KelleherPresident	182,027	$43.82	$7,976,587	654,782	−21.8%	plan?
Feb 8, 2017 MForm 4 →	Feb 10, 4:04 pm EST	Thomas Colm KelleherPresident	182,027	$30.01	$5,462,630	836,809	—	plan?
Feb 1, 2017 FForm 4 →	Feb 2, 4:05 pm EST	Alistair DarlingDirector	291	$42.94	$12,495	12,648	—	plan?
Jan 26, 2017 SForm 4 →	Jan 27, 4:13 pm EST	Paul C WirthDeputy Chief Financial Officer	10,000	$44.25	$442,541	216,038	−4.42%	plan?
Jan 19, 2017 AFGForm 4 →	Mar 3, 4:04 pm EST	James P GormanChairman and CEO, Director	293,724	$45.67	$4,697,662	1,390,502	—	plan? late
Jan 19, 2017 SForm 4 →	Jan 20, 4:11 pm EST	Jeffrey S BrodskyChief Human Resources Officer	11,755	$42.37	$498,058	111,400	−9.54%	plan?
Jan 19, 2017 SForm 4 →	Jan 20, 4:09 pm EST	Eric F GrossmanChief Legal Officer	17,562	$42.14	$739,992	206,347	−7.84%	plan?
Jan 19, 2017 SForm 4 →	Jan 20, 4:03 pm EST	James P GormanChairman and CEO, Director	284,827	$42.30	$12,047,214	1,304,372	−17.9%	plan?
Jan 18, 2017 AFForm 4 →	Jan 20, 4:13 pm EST	Paul C WirthDeputy Chief Financial Officer	59,954	$42.15	$637,730	226,038	—	plan?
Jan 18, 2017 AFForm 4 →	Jan 20, 4:11 pm EST	Jeffrey S BrodskyChief Human Resources Officer	26,862	$42.15	$389,592	123,155	—	plan?
Jan 18, 2017 AFForm 4 →	Jan 20, 4:10 pm EST	Keishi HotsukiChief Risk Officer	37,989	$42.15	$562,028	220,679	—	plan?
Jan 18, 2017 AFForm 4 →	Jan 20, 4:09 pm EST	Eric F GrossmanChief Legal Officer	51,054	$42.15	$766,751	223,909	—	plan?
Jan 18, 2017 AFForm 4 →	Jan 20, 4:08 pm EST	Daniel A SimkowitzHead of Investment Management	69,613	$42.15	$1,301,887	271,961	—	plan?
Jan 18, 2017 AFForm 4 →	Jan 20, 4:06 pm EST	Jonathan PruzanChief Financial Officer	59,225	$42.15	$1,061,716	220,733	—	plan?
Jan 18, 2017 AFForm 4 →	Jan 20, 4:05 pm EST	Thomas Colm KelleherPresident	102,574	$42.15	$1,954,411	654,782	—	plan?
Jan 18, 2017 AFMForm 4 →	Jan 20, 4:03 pm EST	James P GormanChairman and CEO, Director	444,448	$25.46	$8,329,450	1,589,199	—	plan?
Dec 1, 2016 SForm 4 →	Dec 2, 4:06 pm EST	Daniel A SimkowitzHead of Investment Management	121,351	$42.05	$5,102,919	264,122	−31.5%	plan?
Dec 1, 2016 MForm 4 →	Dec 2, 4:06 pm EST	Daniel A SimkowitzHead of Investment Management	121,351	$30.01	$3,641,744	385,473	—	plan?
Nov 30, 2016 SForm 4 →	Dec 2, 4:08 pm EST	James P GormanChairman and CEO, Director	100,000	$41.38	$4,138,100	1,229,408	−7.52%	plan?
Nov 18, 2016 SForm 4 →	Nov 21, 4:06 pm EST	James A RosenthalChief Operating Officer	111,200	$40.34	$4,485,430	183,061	−37.8%	plan?
Nov 18, 2016 GMForm 4 →	Nov 21, 4:06 pm EST	James A RosenthalChief Operating Officer	131,502	$30.01	$3,641,744	172,910	—	plan?
Nov 17, 2016 AForm 4 →	Nov 18, 4:09 pm EST	Perry M TraquinaDirector	1,070	$39.71	$42,500	20,304	—	plan?
Nov 17, 2016 AForm 4 →	Nov 18, 4:08 pm EST	Hutham S OlayanDirector	1,196	$39.71	$47,500	145,424	—	plan?
Nov 17, 2016 AForm 4 →	Nov 18, 4:07 pm EST	Thomas H GlocerDirector	1,322	$39.71	$52,500	47,251	—	plan?
Nov 17, 2016 AForm 4 →	Nov 18, 4:05 pm EST	Erskine B BowlesDirector	1,700	$39.71	$67,500	148,315	—	plan?
Nov 14, 2016 SForm 4 →	Nov 16, 4:11 pm EST	Paul C WirthDeputy Chief Financial Officer	60,675	$39.00	$2,366,380	195,351	−23.7%	plan?
Nov 14, 2016 MForm 4 →	Nov 16, 4:11 pm EST	Paul C WirthDeputy Chief Financial Officer	60,675	$30.01	$1,820,857	256,026	—	plan?
Nov 14, 2016 SForm 4 →	Nov 16, 4:10 pm EST	Jeffrey S BrodskyChief Human Resources Officer	60,675	$39.12	$2,373,503	114,337	−34.7%	plan?
Nov 14, 2016 MForm 4 →	Nov 16, 4:10 pm EST	Jeffrey S BrodskyChief Human Resources Officer	60,675	$30.01	$1,820,857	175,012	—	plan?
Nov 11, 2016 SForm 4 →	Nov 14, 6:18 pm EST	James P GormanChairman and CEO, Director	200,000	$37.70	$7,540,460	1,366,192	−12.8%	plan?
Nov 11, 2016 MForm 4 →	Nov 14, 6:18 pm EST	James P GormanChairman and CEO, Director	200,000	$22.98	$4,596,000	1,566,192	—	plan?
Nov 11, 2016 SForm 4 →	Nov 14, 6:16 pm EST	Eric F GrossmanChief Legal Officer	60,675	$37.84	$2,296,063	208,436	−22.5%	plan?
Nov 11, 2016 MForm 4 →	Nov 14, 6:16 pm EST	Eric F GrossmanChief Legal Officer	60,675	$30.01	$1,820,857	269,111	—	plan?
Nov 10, 2016 SForm 4 →	Nov 14, 6:17 pm EST	Thomas Colm KelleherPresident	219,294	$38.15	$8,366,420	644,041	−25.4%	plan?
Nov 10, 2016 MForm 4 →	Nov 14, 6:17 pm EST	Thomas Colm KelleherPresident	222,713	$22.98	$5,117,945	863,335	—	plan?
Nov 10, 2016 SForm 4 →	Nov 10, 4:26 pm EST	Daniel A SimkowitzHead of Investment Management	60,119	$37.56	$2,257,961	262,784	−18.6%	plan?
Nov 8, 2016 SForm 4 →	Nov 9, 4:15 pm EST	Jonathan PruzanChief Financial Officer	44,625	$33.90	$1,512,667	210,814	−17.5%	plan?
Nov 1, 2016 AForm 4 →	Nov 3, 4:04 pm EDT	Dennis M NallyDirector	4,378	—	—	4,378	—	plan?
Oct 27, 2016 SForm 4 →	Oct 31, 4:07 pm EDT	James A RosenthalChief Operating Officer	66,500	$33.89	$2,253,978	179,543	−27.0%	plan?
Oct 27, 2016 GMForm 4 →	Oct 31, 4:07 pm EDT	James A RosenthalChief Operating Officer	81,518	$22.98	$1,700,727	172,034	—	plan?
Oct 26, 2016 GForm 4 →	Dec 2, 4:08 pm EST	James P GormanChairman and CEO, Director	38,824	—	—	1,329,408	—	plan? late
Oct 21, 2016 SForm 4 →	Oct 24, 4:35 pm EDT	Eric F GrossmanChief Legal Officer	220,400	$33.22	$7,322,349	208,436	−51.4%	plan?
Oct 21, 2016 MForm 4 →	Oct 24, 4:35 pm EDT	Eric F GrossmanChief Legal Officer	247,570	$22.98	$5,689,159	428,836	—	plan?
Oct 20, 2016 SForm 4 →	Oct 24, 4:34 pm EDT	James A RosenthalChief Operating Officer	189,000	$32.85	$6,207,875	183,034	−50.8%	plan?
Oct 20, 2016 GMForm 4 →	Oct 24, 4:34 pm EDT	James A RosenthalChief Operating Officer	211,000	$22.98	$4,596,000	172,034	—	plan?
Oct 20, 2016 SForm 4 →	Oct 24, 4:32 pm EDT	Thomas Colm KelleherPresident	222,712	$32.90	$7,328,027	640,622	−25.8%	plan?
Oct 20, 2016 MForm 4 →	Oct 24, 4:32 pm EDT	Thomas Colm KelleherPresident	222,712	$22.98	$5,117,922	863,334	—	plan?
Sep 15, 2016 GForm 4 →	Dec 22, 4:05 pm EST	Klaus KleinfeldDirector	1,590	—	—	51,952	—	plan? late
Aug 30, 2016 SForm 4 →	Sep 1, 4:11 pm EDT	Paul C WirthDeputy Chief Financial Officer	18,929	$31.70	$600,051	195,351	−8.83%	plan?
Aug 17, 2016 SForm 4 →	Aug 18, 4:14 pm EDT	Keishi HotsukiChief Risk Officer	246,452	$30.27	$7,458,982	208,739	−54.1%	plan?
Aug 17, 2016 MForm 4 →	Aug 18, 4:14 pm EDT	Keishi HotsukiChief Risk Officer	230,870	$22.98	$5,305,393	455,191	—	plan?
Aug 16, 2016 SForm 4 →	Aug 17, 4:43 pm EDT	Paul C WirthDeputy Chief Financial Officer	20,000	$30.20	$604,000	214,280	−8.54%	plan?
Aug 2, 2016 SForm 4 →	Aug 4, 4:21 pm EDT	Donald T NicolaisenDirector	3,302	$27.88	$92,062	89,802	−3.55%	plan?
Jul 25, 2016 GForm 4 →	Sep 1, 4:13 pm EDT	James P GormanChairman and CEO, Director	100	—	—	1,366,192	—	plan? late
Jul 25, 2016 SForm 4 →	Jul 27, 4:53 pm EDT	James A RosenthalChief Operating Officer	91,426	$29.06	$2,657,086	179,454	−33.8%	plan?
Jul 25, 2016 GMForm 4 →	Jul 27, 4:53 pm EDT	James A RosenthalChief Operating Officer	108,574	$22.98	$2,298,000	170,880	—	plan?
Jul 21, 2016 SForm 4 →	Jul 22, 4:41 pm EDT	Jeffrey S BrodskyChief Human Resources Officer	19,955	$28.79	$574,584	113,755	−14.9%	plan?
Jul 21, 2016 FForm 4 →	Jul 22, 4:40 pm EDT	Thomas Colm KelleherPresident	20,411	$28.78	$587,429	639,429	—	plan?
May 31, 2016 GForm 4 →	Jun 1, 5:31 pm EDT	James P GormanChairman and CEO, Director	3,627	—	—	1,363,605	—	plan?
May 25, 2016 SForm 4 →	May 26, 4:37 pm EDT	Eric F GrossmanChief Legal Officer	24,952	$28.21	$703,871	180,212	−12.2%	plan?
May 17, 2016 AForm 4 →	May 19, 4:32 pm EDT	Rayford Wilkins Jr.Director	9,525	—	—	31,865	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:32 pm EDT	Perry M TraquinaDirector	11,145	$26.25	$42,500	19,008	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:31 pm EDT	James W OwensDirector	9,525	—	—	72,461	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:31 pm EDT	Hutham S OlayanDirector	11,335	$26.25	$47,500	142,628	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:30 pm EDT	Donald T NicolaisenDirector	9,525	—	—	93,105	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:29 pm EDT	Judith A MiscikDirector	10,249	$26.25	$19,000	21,495	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:29 pm EDT	Klaus KleinfeldDirector	9,525	—	—	53,166	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:29 pm EDT	Robert H HerzDirector	9,525	—	—	51,039	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:28 pm EDT	Thomas H GlocerDirector	11,525	$26.25	$52,491	45,443	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:26 pm EDT	Alistair DarlingDirector	9,525	—	—	12,788	—	plan?
May 17, 2016 AForm 4 →	May 19, 4:24 pm EDT	Erskine B BowlesDirector	11,907	$26.25	$62,500	144,894	—	plan?
Feb 26, 2016 SForm 4 →	Mar 1, 4:48 pm EST	James A RosenthalChief Operating Officer	50,000	$25.13	$1,256,350	170,197	−22.7%	plan?
Feb 25, 2016 AFForm 4 →	Feb 26, 4:11 pm EST	Jeffrey S BrodskyChief Human Resources Officer	71,526	$23.71	$576,983	133,218	—	plan?
Feb 25, 2016 AFForm 4 →	Feb 26, 4:10 pm EST	Keishi HotsukiChief Risk Officer	89,408	$23.71	$721,234	222,813	—	plan?
Feb 25, 2016 AFForm 4 →	Feb 26, 4:08 pm EST	Eric F GrossmanChief Legal Officer	107,289	$23.71	$865,486	204,274	—	plan?
Feb 25, 2016 AFGForm 4 →	Feb 26, 4:07 pm EST	James A RosenthalChief Operating Officer	324,440	$23.71	$2,146,941	169,905	—	plan?
Feb 25, 2016 AFForm 4 →	Feb 26, 4:07 pm EST	Thomas Colm KelleherPresident	260,142	$23.71	$1,972,056	658,586	—	plan?
Feb 25, 2016 AFForm 4 →	Feb 26, 4:06 pm EST	James P GormanChairman and CEO, Director	344,688	$23.71	$2,927,663	1,383,156	—	plan?
Feb 1, 2016 AForm 4 →	Feb 2, 4:36 pm EST	Alistair DarlingDirector	3,244	—	—	3,244	—	plan?
Jan 20, 2016 AFForm 4 →	Jan 22, 4:14 pm EST	Paul C WirthDeputy Chief Financial Officer	102,926	$26.26	$710,149	230,646	—	plan?
Jan 20, 2016 AFForm 4 →	Jan 22, 4:13 pm EST	Jeffrey S BrodskyChief Human Resources Officer	43,172	$26.26	$402,566	109,821	—	plan?
Jan 20, 2016 AFForm 4 →	Jan 22, 4:12 pm EST	Keishi HotsukiChief Risk Officer	45,677	$26.26	$155,564	193,484	—	plan?
Jan 20, 2016 AFForm 4 →	Jan 22, 4:10 pm EST	Eric F GrossmanChief Legal Officer	58,098	$26.26	$200,233	169,011	—	plan?
Jan 20, 2016 AFGForm 4 →	Jan 22, 4:09 pm EST	James A RosenthalChief Operating Officer	92,108	$26.26	$247,737	168,834	—	plan?
Jan 20, 2016 AFForm 4 →	Jan 22, 4:08 pm EST	Jonathan PruzanChief Financial Officer	99,712	$26.26	$1,168,465	251,517	—	plan?
Jan 20, 2016 AFForm 4 →	Jan 22, 4:07 pm EST	Thomas Colm KelleherPresident	157,102	$26.26	$832,915	563,413	—	plan?
Jan 20, 2016 AFGForm 4 →	Jan 22, 4:06 pm EST	James P GormanChairman and CEO, Director	212,922	$26.26	$448,179	1,282,928	—	plan?
Nov 19, 2015 AForm 4 →	Nov 20, 5:26 pm EST	Perry M TraquinaDirector	1,243	$34.20	$42,500	7,767	—	plan?
Nov 19, 2015 AForm 4 →	Nov 20, 4:55 pm EST	Hutham S OlayanDirector	1,389	$34.20	$47,500	129,787	—	plan?
Nov 19, 2015 AForm 4 →	Nov 20, 4:54 pm EST	Judith A MiscikDirector	556	$34.20	$19,000	11,131	—	plan?
Nov 19, 2015 AForm 4 →	Nov 20, 4:52 pm EST	Thomas H GlocerDirector	1,535	$34.20	$52,500	33,535	—	plan?
Nov 19, 2015 AForm 4 →	Nov 20, 4:50 pm EST	Erskine B BowlesDirector	1,754	$34.20	$60,000	131,364	—	plan?
Oct 26, 2015 GForm 4 →	Dec 2, 5:06 pm EST	James P GormanChairman and CEO, Director	3,548	—	—	1,128,494	—	plan? late
Jul 31, 2015 SForm 4 →	Aug 4, 5:11 pm EDT	James A RosenthalChief Operating Officer	12,000	$39.25	$471,000	135,384	−8.14%	plan?

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