Sale
WIRTH PAUL C officer: Deputy Chief Financial Officer officer: Deputy Chief Financial..
Common Stock 12,226 $30.06 $367,514 Sale
KELLEHER THOMAS COLM officer: President officer: President
Common Stock 50,000 $27.62 $1,380,900 Sale
KELLEHER THOMAS COLM officer: President officer: President
Common Stock 12,710 N/A N/A Purchase
OLAYAN HUTHAM S director director
Common Stock 3,000 $27.83 $83,493 Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 17,178,055 $27.44 $471,365,829 Sale
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Series C Non-Cumulative Non-Voting Perpetual Pref Stk 640,909 $1,100 $704,999,900 Purchase
MITSUBISHI UFJ FINANCIAL GROUP INC 10 percent owner 10 percent owner
Common Stock 29,375,000 $24 $705,000,000 Sale
CHAMMAH WALID A officer: Chairman/CEO of MS Int'l officer: Chairman/CEO of MS Int'l
Common Stock 80,000 $28.02 $2,241,200 Sale
WIRTH PAUL C officer: Deputy Chief Financial Officer officer: Deputy Chief Financial..
Common Stock 26,572 $25.94 $689,278 Sale
LYNCH GARY G officer: Chief Legal Officer officer: Chief Legal Officer
Common Stock 20,000 $23.06 $461,120 Sale
NIDES THOMAS R officer: Chief Operating Officer officer: Chief Operating Officer
Common Stock 12,500 $19.9 $248,763 Sale
NIDES THOMAS R officer: Chief Operating Officer officer: Chief Operating Officer
Common Stock 10,350 $48.32 $500,112 Purchase
BOSTOCK ROY J director director
Common Stock 10,000 $49.04 $490,400 Sale
KELLEHER THOMAS COLM officer: President officer: President
Common Stock 11,425 $47.66 $544,458 Option
KIDDER C ROBERT director director
Common Stock 12,552 $32.96 $413,651 Option
KIDDER C ROBERT director director
Non-Qualified Stock Option (Right to Buy) 9,399 $32.64 $306,783 Sale
TYSON LAURA D director director
Common Stock 15,000 $73.12 $1,096,785 Option
TYSON LAURA D director director
Non-Qualified Stock Option (Right to Buy) 9,399 $32.64 $306,783 Option
TYSON LAURA D director director
Common Stock 12,552 $32.96 $413,651 Purchase
BOWLES ERSKINE B director director
Common Stock 1,000 $85.07 $85,070 Purchase
MURRAY EILEEN K other: Head of Global Ops/Tech other: Head of Global Ops/Tech
Common Stock 47,000 $80.6 $3,788,341 Sale
MURRAY EILEEN K other: Head of Global Ops/Tech other: Head of Global Ops/Tech
Common Stock 123,307 $80.11 $9,877,877 Sale
LYNCH GARY G officer: Chief Legal Officer officer: Chief Legal Officer
Common Stock 25,000 $80.1 $2,002,525 Sale
MACK JOHN J director, officer: Chairman of the Board director, officer: Chairman of ..
Common Stock 56,430 $80.34 $4,533,473 Option
MACK JOHN J director, officer: Chairman of the Board director, officer: Chairman of ..
Common Stock 207,331 $48.32 $10,017,612 Option
MACK JOHN J director, officer: Chairman of the Board director, officer: Chairman of ..
Employee Stock Option (Right to Buy) 100,898 $26.92 $2,716,174 Option
CRUZ ZOE officer: Co-President officer: Co-President
Common Stock 198,606 $34.74 $6,899,572 Option
CRUZ ZOE officer: Co-President officer: Co-President
Employee Stock Option (Right to Buy) 126,886 $42.56 $5,400,268 Sale
KIDDER C ROBERT director director
Common Stock 8,000 $80.7 $645,584 Option
KIDDER C ROBERT director director
Common Stock 8,000 $20 $160,000 Option
KIDDER C ROBERT director director
Non-Qualified Stock Option (Right to Buy) 8,000 $20 $160,000 Purchase
BOSTOCK ROY J director director
Common Stock 6,250 $80.02 $500,100 Sale
NIDES THOMAS R officer: Chief Operating Officer officer: Chief Operating Officer
Common Stock 11,200 $81.41 $911,792 Sale
HOCHSCHILD ROGER C other: Business Unit Head other: Business Unit Head
Common Stock 19,954 $75.15 $1,499,543 Sale
DAULA THOMAS V officer: Chief Risk Officer officer: Chief Risk Officer
Common Stock 2,366 $74.59 $176,473 Option
HOCHSCHILD ROGER C other: Business Unit Head other: Business Unit Head
Common Stock 25,246 $35.65 $900,020 Option
HOCHSCHILD ROGER C other: Business Unit Head other: Business Unit Head
Employee Stock Option (Right to Buy) 25,246 $35.65 $900,020 Option
DAULA THOMAS V officer: Chief Risk Officer officer: Chief Risk Officer
Employee Stock Option (Right to Buy) 2,430 $47.47 $115,352 Option
DAULA THOMAS V officer: Chief Risk Officer officer: Chief Risk Officer
Common Stock 2,430 $47.47 $115,352 Sale
NELMS DAVID W other: Business Unit Head other: Business Unit Head
Common Stock 15,096 $73.17 $1,104,499 Option
NELMS DAVID W other: Business Unit Head other: Business Unit Head
Employee Stock Option (Right to Buy) 10,128 $6.25 $63,300 Option
NELMS DAVID W other: Business Unit Head other: Business Unit Head
Common Stock 42,368 $16.2 $686,234 Sale
HOCHSCHILD ROGER C other: Business Unit Head other: Business Unit Head
Common Stock 4,704 $73.05 $343,627 Purchase
BOSTOCK ROY J director director
Common Stock 3,500 $70.72 $247,520 Sale
CRUZ ZOE officer: Co-President officer: Co-President
Common Stock 33,000 $61.6 $2,032,833 Purchase
BOSTOCK ROY J director director
Common Stock 2,000 $60.29 $120,570 Sale
SEXTON O GRIFFITH director director
Common Stock 10,000 $64.01 $640,130 Purchase
BOSTOCK ROY J director director
Common Stock 1,945 $61.75 $120,104 Purchase
HELENIAK DAVID W officer: Vice Chairman officer: Vice Chairman
Common Stock 130 $59.85 $7,781 Purchase
BOSTOCK ROY J director director
Common Stock 3,000 $58.85 $176,535