Morgan Stanley owner disposes of 604,396 shares

The plan was adopted April 18, 2018, and Morgan Stanley approved the sales in accordance with Rule 16b-3(e).

Available on EDGAR 11/02/2026 - 06:26 AM EST Accepted by SEC EDGAR 11/02/2026 - 06:26 AM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Mitsubishi UFJ Financial Group Inc., a 10 percent owner of Morgan Stanley and a director by deputization, disposed of 604,396 Morgan Stanley common shares to Morgan Stanley on October 29, 2026, at $183.838 per share. It directly held 374,725,856 shares after the transaction. The disposition was made under a sales plan adopted on April 18, 2018, designed to comply with Rule 10b5-1(c).

Insider Trade Summary 10b5-1

Disposition: 604,396 shares

Disposition 1 txn

Insider MITSUBISHI UFJ FINANCIAL GROUP INC

Role 10% Owner

Type	Security	Shares	Price	Value
Disposition	Common Stock F1, F2	604,396	$183.838	$111.11M

Holdings After Transaction: Common Stock — 374,725,856 shares (Direct)

Footnotes (2)

1. F1. By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also director of Morgan Stanley by deputization.
2. F2. The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan adopted on April 18, 2018 and designed to comply with Rule 10b5-1(c).

Key Figures

Shares disposed: 604,396 shares Price per share: $183.838 per share Direct shares held after transaction: 374,725,856 shares

3 metrics

Shares disposed 604,396 shares Disposed to Morgan Stanley on October 29, 2026

Price per share $183.838 per share Disposition to Morgan Stanley on October 29, 2026

Direct shares held after transaction 374,725,856 shares Following the October 29, 2026 disposition

Key Terms

Rule 10b5-1(c), Rule 16b-3(e), director by deputization

3 terms

Rule 10b5-1(c) regulatory

"designed to comply with Rule 10b5-1(c)"

Rule 10b5-1(c) is an SEC guideline that lets company insiders set up a written, pre-planned schedule to buy or sell their company stock when they are not in possession of material, nonpublic information. For investors, it matters because such plans can reduce the appearance of insider trading by separating decisions from inside knowledge—like putting your trades on autopilot—while also requiring scrutiny since pre-planned trades can still affect market confidence and share value.

Rule 16b-3(e) regulatory

"approved by Morgan Stanley in accordance with Rule 16b-3(e)"

director by deputization regulatory

"director of Morgan Stanley by deputization"

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many MS shares did Mitsubishi UFJ Financial Group Inc. dispose of, and at what price?

Mitsubishi UFJ Financial Group Inc. disposed of 604,396 Morgan Stanley common shares to Morgan Stanley on October 29, 2026, at $183.838 per share. It directly held 374,725,856 shares afterward.

Was the MS share disposition made under a Rule 10b5-1 plan?

Yes. The disposition was made under a sales plan adopted April 18, 2018, designed to comply with Rule 10b5-1(c); Morgan Stanley approved the sales in accordance with Rule 16b-3(e).

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 4

FORM 4

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
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

X

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

MITSUBISHI UFJ FINANCIAL GROUP INC

(Last) (First) (Middle)

4-5, MARUNOUCHI 1-CHOME, CHIYODA-KU

(Street)

TOKYO 100-8330

(City) (State) (Zip)

JAPAN

(Country)

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)

2a. Foreign Trading Symbol
[N/A]

3. Date of Earliest Transaction (Month/Day/Year)
10/29/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	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)	10/29/2026		D(2)		604,396	D	$183.838	374,725,856	D

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 (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	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 (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (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: 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

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 director of Morgan Stanley by deputization.

2. The sales were to Morgan Stanley, approved by Morgan Stanley in accordance with Rule 16b-3(e) and effected pursuant to a sales plan adopted on April 18, 2018 and designed to comply with Rule 10b5-1(c).

	/s/ Satoshi Honda	11/02/2026
	** Signature of Reporting Person	Date
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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)