Sec Form 4 Filing - MITSUBISHI UFJ FINANCIAL GROUP INC @ MORGAN STANLEY - 2013-10-28

Insider filing report for Changes in Beneficial Ownership
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The following is an SEC EDGAR document rendered as filed.
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FORM 4
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person *
MITSUBISHI UFJ FINANCIAL GROUP INC
2. Issuer Name and Ticker or Trading Symbol
MORGAN STANLEY [ MS]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director X __ 10% Owner
_____ Officer (give title below) _____ Other (specify below)
(Last)
(First)
(Middle)
7-1, MARUNOUCHI 2-CHOME, CHIYODA-KU
3. Date of Earliest Transaction (MM/DD/YY)
10/28/2013
(Street)
TOKYO, M0100-8330
4. If Amendment, Date Original Filed (MM/DD/YY)
6. Individual or Joint/Group Filing (Check Applicable Line)
__ X __ Form filed by One Reporting Person
_____ Form filed by More than One Reporting Person
(City)
(State)
(Zip)
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Transaction Date (MM/DD/YY) 2A. Deemed Execution Date, if any (MM/DD/YY) 3. Transaction Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I)
(Instr. 4)
7. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V Amount (A) or (D) Price
Common Stock ( 1 ) ( 2 ) ( 3 ) 10/24/2016 P 0.053 A $ 33.49 432,017,152.501 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 11/08/2016 P 0.058 A $ 34.1 432,017,152.559 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 11/30/2016 S 0.076 D $ 41.35 432,017,152.483 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 12/07/2016 S 0.017 D $ 42.64 432,017,152.466 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 01/13/2017 P 0.062 A $ 44.28 432,017,152.528 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 04/18/2017 P 0.009 A $ 41.21 432,017,152.537 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 05/10/2017 S 0.007 D $ 43.1 432,017,152.529 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 05/31/2017 P 0.238 A $ 41.74 432,017,152.768 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 09/12/2017 P 0.015 A $ 45.75 432,017,152.783 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 09/19/2017 P 2,122.366 A $ 47.74 432,019,275.149 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 10/09/2017 S 0.018 D $ 49.38 432,019,275.13 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 10/13/2017 S 175.546 D $ 48.24 432,019,099.584 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 11/30/2017 S 0.104 D $ 51.61 432,019,099.48 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 12/01/2017 S 167.04 D $ 51.86 432,018,932.44 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 01/16/2018 S 176.692 D $ 54.52 432,018,755.748 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 03/12/2018 P 0.018 A $ 58.91 432,018,755.765 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 04/03/2018 P 743.284 A $ 53.06 432,019,499.049 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 05/15/2018 S 0.012 D $ 54.84 431,278,299.037 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 05/21/2018 S 278.964 D $ 54.34 431,278,020.073 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 05/30/2018 S 1,971.347 D $ 50.72 431,276,048.726 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 05/31/2018 S 0.134 D $ 50.14 431,276,048.593 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 09/13/2018 S 667.027 D $ 47.66 424,550,977.565 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 10/08/2018 S 0.008 D $ 47.02 419,497,361.557 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 11/30/2018 P 0.023 A $ 44.39 418,378,081.579 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 01/09/2019 S 0.045 D $ 41.68 412,969,631.534 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 01/16/2019 P 0.012 A $ 44.49 412,969,631.546 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 02/27/2019 S 0.009 D $ 42.46 411,102,624.537 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 03/07/2019 S 0.008 D $ 41.17 411,102,624.529 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 03/15/2019 P 0.198 A $ 43.34 411,102,624.727 ( 4 ) I Through Subsidiary ( 5 )
Common Stock ( 1 ) ( 2 ) ( 3 ) 04/24/2019 S 0.002 D $ 47.37 404,866,654.725 ( 4 ) I Through Subsidiary ( 5 )
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (MM/DD/YY) 3A. Deemed Execution Date, if any (MM/DD/YY) 4. Transaction Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4, and 5)
6. Date Exercisable and Expiration Date
(MM/DD/YY)
7. Title and Amount of Underlying Securities
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 4)
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 4)
11. Nature of Indirect Beneficial Ownership
(Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Reporting Owners
Reporting Owner Name / Address Relationships
Director 10% Owner Officer Other
MITSUBISHI UFJ FINANCIAL GROUP INC
7-1, MARUNOUCHI 2-CHOME, CHIYODA-KU
TOKYO, M0100-8330
X
Signatures
/s/ Miki Katayama, Managing Director 10/21/2020
** Signature of Reporting Person Date
Explanation of Responses:
( 1 )By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization.
( 2 )The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds.
( 3 )The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16.
( 4 )The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings.
( 5 )This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so.

Remarks:
Form 2 of 4

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

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