MORGAN STANLEY — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Tax Withholding | 20,301 | $97.08 | $1,970,821 | 214,996 | Jan 18, 2023 |
| PRUZAN JONATHAN | Chief Operating Officer | Tax Withholding | 20,316 | $97.08 | $1,972,277 | 406,985 | Jan 18, 2023 |
| PICK EDWARD N | Co-President/Head of IS | Sale | 109,754 | $96.84 | $10,628,577 | 665,211 | Jan 18, 2023 |
| Hotsuki Keishi | Chief Risk Officer | Tax Withholding | 11,651 | $97.08 | $1,131,079 | 318,347 | Jan 18, 2023 |
| GROSSMAN ERIC F | Chief Legal/Admin Officer | Award / Grant | 40,340 | — | — | 370,955 | Jan 18, 2023 |
| CRAWLEY MANDELL | Chief Human Resources Officer | Tax Withholding | 4,090 | $97.08 | $397,057 | 45,911 | Jan 18, 2023 |
| GORMAN JAMES P | Chairman and CEO | Gift | 1,547 | — | — | 1,110,801 | Jan 18, 2023 |
| TRAQUINA PERRY M | — | Award / Grant | 727 | $92.81 | $67,498 | 68,906 | Dec 1, 2022 |
| SCHAPIRO MARY L | — | Award / Grant | 512 | $92.81 | $47,498 | 27,669 | Dec 1, 2022 |
| LUCZO STEPHEN J | — | Award / Grant | 593 | $92.81 | $54,998 | 10,922 | Dec 1, 2022 |
| GLOCER THOMAS H | — | Award / Grant | 862 | $92.81 | $79,998 | 101,925 | Dec 1, 2022 |
| GORMAN JAMES P | Chairman and CEO | Gift | 635 | — | — | 1,374,076 | Oct 18, 2022 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Other | 30,509 | — | — | 46,226 | Aug 10, 2022 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Sale | 100 | — | — | — | Jul 20, 2022 |
| PICK EDWARD N | Co-President/Head of IS | Gift | 126 | — | — | 739,380 | Jul 18, 2022 |
| WILKINS RAYFORD JR | — | Award / Grant | 2,945 | — | — | 63,984 | Jun 1, 2022 |
| TRAQUINA PERRY M | — | Award / Grant | 795 | $84.90 | $67,499 | 67,035 | Jun 1, 2022 |
| SCHAPIRO MARY L | — | Award / Grant | 2,945 | — | — | 26,754 | Jun 1, 2022 |
| NALLY DENNIS M | — | Award / Grant | 2,945 | — | — | 34,179 | Jun 1, 2022 |
| Miscik Judith A | — | Award / Grant | 2,945 | — | — | 52,901 | Jun 1, 2022 |
| LUCZO STEPHEN J | — | Award / Grant | 648 | $84.90 | $54,999 | 10,156 | Jun 1, 2022 |
| Leibowitz Shelley B | — | Award / Grant | 2,945 | — | — | 39,831 | Jun 1, 2022 |
| James Erika H | — | Award / Grant | 2,945 | — | — | 3,758 | Jun 1, 2022 |
| Herz Robert H | — | Award / Grant | 2,945 | — | — | 86,196 | Jun 1, 2022 |
| GLOCER THOMAS H | — | Award / Grant | 2,945 | — | — | 98,574 | Jun 1, 2022 |
| DARLING ALISTAIR | — | Award / Grant | 2,945 | — | — | 36,115 | Jun 1, 2022 |
| AKRAM RAJA | Deputy Chief Financial Officer | Tax Withholding | 137 | $80.63 | $11,046 | 108,636 | May 13, 2022 |
| LUCZO STEPHEN J | — | Purchase | 25,000 | $79.30 | $1,982,500 | 179,449 | May 12, 2022 |
| AKRAM RAJA | Deputy Chief Financial Officer | Tax Withholding | 15,785 | $80.59 | $1,272,113 | 107,702 | May 1, 2022 |
| YESHAYA SHARON | Chief Financial Officer | Gift | 4,795 | — | — | 41,525 | Apr 27, 2022 |
| CORLEY ELIZABETH | — | Disposition | 230 | — | — | 28,914 | Apr 21, 2022 |
| PICK EDWARD N | Co-President/Head of IS | Gift | 300 | — | — | 737,421 | Apr 20, 2022 |
| SIMKOWITZ DANIEL A | Head of Investment Management | Tax Withholding | 55,564 | $93.55 | $5,198,012 | 349,220 | Feb 24, 2022 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Award / Grant | 90,080 | — | — | 270,692 | Feb 24, 2022 |
| PRUZAN JONATHAN | Chief Operating Officer | Tax Withholding | 55,564 | $93.55 | $5,198,012 | 333,692 | Feb 24, 2022 |
| PICK EDWARD N | Co-President/Head of IS | Tax Withholding | 122,142 | $93.55 | $11,426,384 | 745,526 | Feb 24, 2022 |
| Hotsuki Keishi | Chief Risk Officer | Tax Withholding | 30,068 | $93.55 | $2,812,861 | 300,485 | Feb 24, 2022 |
| GROSSMAN ERIC F | Chief Legal Officer | Award / Grant | 74,488 | — | — | 364,868 | Feb 24, 2022 |
| GORMAN JAMES P | Chairman and CEO | Gift | 2,000 | — | — | 1,156,554 | Feb 24, 2022 |
| GORMAN JAMES P | Chairman and CEO | Gift | 2,720 | — | — | 1,158,554 | Feb 9, 2022 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Sale | 17,162 | $105.70 | $1,814,023 | 179,414 | Feb 8, 2022 |
| Hotsuki Keishi | Chief Risk Officer | Sale | 24,500 | $105.00 | $2,572,500 | 270,986 | Feb 7, 2022 |
| James Erika H | — | Award / Grant | 806 | — | — | 806 | Feb 1, 2022 |
| SIMKOWITZ DANIEL A | Head of Investment Management | Sale | 18,414 | $102.56 | $1,888,540 | 302,996 | Jan 31, 2022 |
| PRUZAN JONATHAN | Chief Operating Officer | Sale | 18,414 | $101.05 | $1,860,735 | 287,602 | Jan 26, 2022 |
| AKRAM RAJA | Deputy Chief Financial Officer | Award / Grant | 23,946 | — | — | 122,658 | Jan 20, 2022 |
| YESHAYA SHARON | Chief Financial Officer | Award / Grant | 24,757 | — | — | 48,802 | Jan 20, 2022 |
| SIMKOWITZ DANIEL A | Head of Investment Management | Tax Withholding | 17,394 | $95.73 | $1,665,128 | 321,410 | Jan 20, 2022 |
| SAPERSTEIN ANDREW M | Co-President/Head of WM | Sale | 15,471 | $96.80 | $1,497,593 | 196,576 | Jan 20, 2022 |
| ROONEY ROBERT P | Head of Tech/Ops/Resilience | Award / Grant | 40,077 | — | — | 272,453 | Jan 20, 2022 |