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
Jul 23, 2015 GForm 4 →	Aug 31, 5:01 pm EDT	Gregory J FlemingPresident-Wealth & Invest Mgt	14,909	—	—	498,726	—	plan? late
Jul 21, 2015 FForm 4 →	Jul 23, 4:51 pm EDT	Thomas Colm KelleherPresident, Inst'l Securities	15,555	$40.04	$622,822	468,423	—	plan?
May 26, 2015 SForm 4 →	May 27, 5:57 pm EDT	Donald T NicolaisenDirector	4,160	$37.77	$157,127	81,872	−4.84%	plan?
May 19, 2015 AForm 4 →	May 21, 4:54 pm EDT	Rayford Wilkins Jr.Director	6,470	—	—	22,042	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:53 pm EDT	Laura D TysonDirector	6,470	—	—	76,549	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:51 pm EDT	Perry M TraquinaDirector	6,470	—	—	6,470	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:48 pm EDT	James W OwensDirector	6,470	—	—	61,943	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:47 pm EDT	Hutham S OlayanDirector	7,570	$38.64	$42,500	127,397	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:45 pm EDT	Donald T NicolaisenDirector	6,470	—	—	86,032	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:44 pm EDT	Judith A MiscikDirector	6,884	$38.64	$16,000	10,487	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:43 pm EDT	Klaus KleinfeldDirector	6,470	—	—	43,121	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:41 pm EDT	Robert H HerzDirector	6,470	—	—	40,931	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:40 pm EDT	Thomas H GlocerDirector	7,786	$38.64	$50,833	31,742	—	plan?
May 19, 2015 FForm 4 →	May 21, 4:38 pm EDT	Howard J DaviesDirector	4,792	$38.64	$185,159	67,151	—	plan?
May 19, 2015 AForm 4 →	May 21, 4:36 pm EDT	Erskine B BowlesDirector	7,958	$38.64	$57,500	128,531	—	plan?
May 15, 2015 FForm 4 →	May 19, 5:40 pm EDT	Howard J DaviesDirector	262	$37.88	$9,924	71,947	—	plan?
May 13, 2015 FForm 4 →	May 14, 4:32 pm EDT	Howard J DaviesDirector	860	$37.71	$32,434	72,005	—	plan?
May 11, 2015 SForm 4 →	May 12, 5:20 pm EDT	Paul C WirthDeputy Chief Financial Officer	39,462	$38.37	$1,513,960	179,582	−18.0%	plan?
Apr 29, 2015 SForm 4 →	May 1, 4:10 pm EDT	Thomas Colm KelleherPresident, Inst'l Securities	32,833	$36.72	$1,205,628	483,225	−6.36%	plan?
Apr 22, 2015 GForm 4 →	Jun 2, 5:25 pm EDT	James P GormanChairman and CEO, Director	2,656	—	—	1,129,968	—	plan? late
Apr 21, 2015 SForm 4 →	Apr 21, 5:17 pm EDT	James A RosenthalChief Operating Officer	50,030	$37.10	$1,856,113	147,384	−25.3%	plan?
Apr 21, 2015 SForm 4 →	Apr 21, 5:14 pm EDT	Eric F GrossmanChief Legal Officer	34,481	$37.10	$1,279,314	124,646	−21.7%	plan?
Mar 2, 2015 AFForm 4 →	Mar 2, 4:59 pm EST	Paul C WirthDeputy Chief Financial Officer	34,586	$35.79	$421,177	219,044	—	plan?
Mar 2, 2015 AFForm 4 →	Mar 2, 4:57 pm EST	Keishi HotsukiChief Risk Officer	77,678	$35.79	$945,930	158,488	—	plan?
Mar 2, 2015 AFForm 4 →	Mar 2, 4:56 pm EST	Eric F GrossmanChief Legal Officer	30,153	$35.79	$367,205	159,127	—	plan?
Mar 2, 2015 AFGForm 4 →	Mar 2, 4:54 pm EST	James A RosenthalChief Operating Officer	169,680	$35.79	$1,694,943	120,389	—	plan?
Mar 2, 2015 AFForm 4 →	Mar 2, 4:53 pm EST	Ruth PoratChief Financial Officer	145,873	$35.79	$1,870,278	881,037	—	plan?
Mar 2, 2015 AFForm 4 →	Mar 2, 4:51 pm EST	Thomas Colm KelleherPresident, Inst'l Securities	145,600	$35.79	$1,666,132	516,058	—	plan?
Mar 2, 2015 AFForm 4 →	Mar 2, 4:50 pm EST	Gregory J FlemingPresident-Wealth & Invest Mgt	150,764	$35.79	$1,835,884	512,195	—	plan?
Mar 2, 2015 AFGForm 4 →	Mar 2, 4:44 pm EST	James P GormanChairman and CEO, Director	185,397	$35.79	$2,267,726	1,131,649	—	plan?
Jan 23, 2015 SForm 4 →	Jan 23, 4:23 pm EST	Paul C WirthDeputy Chief Financial Officer	21,500	$35.45	$762,189	207,509	−9.39%	plan?
Jan 21, 2015 AFForm 4 →	Jan 23, 4:22 pm EST	Keishi HotsukiChief Risk Officer	77,428	$34.75	$1,032,006	133,415	—	plan?
Jan 21, 2015 AFForm 4 →	Jan 23, 4:21 pm EST	Eric F GrossmanChief Legal Officer	82,864	$34.75	$714,460	149,163	—	plan?
Jan 21, 2015 AFGForm 4 →	Jan 23, 4:19 pm EST	James A RosenthalChief Operating Officer	157,962	$34.75	$1,825,522	120,064	—	plan?
Jan 21, 2015 AFForm 4 →	Jan 23, 4:18 pm EST	Ruth PoratChief Financial Officer	136,942	$34.75	$2,549,469	839,157	—	plan?
Jan 21, 2015 AFForm 4 →	Jan 23, 4:17 pm EST	Thomas Colm KelleherPresident, Inst'l Securities	146,395	$34.75	$1,490,879	463,050	—	plan?
Jan 21, 2015 AFForm 4 →	Jan 23, 4:15 pm EST	Gregory J FlemingPresident-Wealth & Invest Mgt	144,317	$34.75	$2,094,348	463,533	—	plan?
Jan 21, 2015 AFForm 4 →	Jan 23, 4:14 pm EST	James P GormanChairman and CEO, Director	222,497	$34.75	$3,287,802	1,075,725	—	plan?
Dec 4, 2014 AFForm 4 →	Jan 23, 2015, 4:23 pm EST	Paul C WirthDeputy Chief Financial Officer	111,737	$34.78	$1,175,975	229,009	—	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