Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
LUCZO STEPHEN J director director
Common Stock 50,000 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 1,495 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
WIRTH PAUL C officer: Deputy Chief Financial Officer officer: Deputy Chief Financial..
Common Stock 25,000 N/A N/A Sale
HOTSUKI KEISHI officer: Chief Risk Officer officer: Chief Risk Officer
Common Stock 26,000 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
ROONEY ROBERT P officer: Head of Tech/Ops/Resilience officer: Head of Tech/Ops/Resil..
Common Stock 51,105 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 177 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 1,429 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
SIMKOWITZ DANIEL A officer: Head of Investment Management officer: Head of Investment Man..
Common Stock 7,000 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
WIRTH PAUL C officer: Deputy Chief Financial Officer officer: Deputy Chief Financial..
Common Stock 25,000 N/A N/A Sale
BRODSKY JEFFREY S officer: Chief Human Resources Officer officer: Chief Human Resources ..
Common Stock 15,565 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Put Option(right to sell) 7,000 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Call Option (obligation to sell) 7,000 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 667 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 1,971 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 278 N/A N/A Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 743 N/A N/A Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 0 N/A N/A Sale
WIRTH PAUL C officer: Deputy Chief Financial Officer officer: Deputy Chief Financial..
Common Stock 20,000 N/A N/A Sale
PRUZAN JONATHAN officer: Chief Financial Officer officer: Chief Financial Officer
Common Stock 52,204 N/A N/A Sale
GORMAN JAMES P director, officer: Chairman and CEO director, officer: Chairman and..
Common Stock 100,000 N/A N/A Sale
SIMKOWITZ DANIEL A officer: Head of Investment Management officer: Head of Investment Man..
Common Stock 32,181 N/A N/A Sale
GROSSMAN ERIC F officer: Chief Legal Officer officer: Chief Legal Officer
Common Stock 17,421 N/A N/A Sale
BRODSKY JEFFREY S officer: Chief Human Resources Officer officer: Chief Human Resources ..
Common Stock 11,054 N/A N/A Sale
SIMKOWITZ DANIEL A officer: Head of Investment Management officer: Head of Investment Man..
Common Stock 54,869 N/A N/A