| |
Company
Roster
|
|
Total
Insiders : |
91 |
|
|
|
Total
Direct Shares :
|
411,495,931 |
|
|
Total
Indirect Shares :
|
153,352,376 |
| |
%
Held by Insiders:
|
22.11% |
|
|
| |
| Filer's Name |
Relation |
Direct Date |
Direct Shares |
Indirect Date |
Indirect Shares |
  Gorman James P |
Executive Chairman, Director |
2024-04-18 |
414,870 |
2024-04-18 |
351,992 |
| Smith Charles Aubrey Iii |
Chief Risk Officer |
2024-04-17 |
126,190 |
2024-04-17 |
5,229 |
| Grossman Eric F |
Chief Legal/Admin Officer |
2024-02-22 |
257,552 |
2014-02-05 |
0 |
| Simkowitz Daniel A |
Co-President |
2024-02-22 |
499,692 |
2024-02-22 |
1,708 |
| Pick Edward N |
Chief Executive Officer, Director |
2024-02-22 |
598,604 |
2024-02-22 |
204,067 |
| Saperstein Andrew |
Co-President |
2024-02-22 |
326,427 |
2023-11-14 |
0 |
| Akram Raja |
Deputy Chief Financial Officer |
2024-01-30 |
93,134 |
|
0 |
| Yeshaya Sharon |
Chief Financial Officer |
2024-01-18 |
106,720 |
2024-01-18 |
15,547 |
| Crawley Mandell |
Chief Human Resources Officer |
2024-01-17 |
52,705 |
|
0 |
| Traquina Perry M |
Director |
2023-12-01 |
76,513 |
2020-12-29 |
0 |
| Luczo Stephen J |
Director |
2023-12-01 |
14,263 |
2023-12-01 |
232,363 |
| Glocer Thomas H |
Director |
2023-12-01 |
106,670 |
|
0 |
| Schapiro Mary L |
Director |
2023-06-01 |
31,866 |
2018-08-01 |
0 |
| Darling Alistair |
Director |
2023-06-01 |
37,783 |
2016-02-01 |
0 |
| Miscik Judith A |
Director |
2023-06-01 |
57,106 |
2014-12-01 |
0 |
| Leibowitz Shelley B |
Director |
2023-06-01 |
43,203 |
|
0 |
| Herz Robert H |
Director |
2023-06-01 |
91,535 |
2014-05-13 |
0 |
| James Erika H |
Director |
2023-06-01 |
7,050 |
2022-02-01 |
0 |
| Wilkins Rayford Jr |
Director |
2023-06-01 |
68,367 |
2013-09-03 |
0 |
| Nally Dennis M |
Director |
2023-06-01 |
38,007 |
2016-11-01 |
0 |
| Hotsuki Keishi |
Chief Risk Officer |
2023-02-24 |
339,211 |
2011-01-21 |
0 |
| Pruzan Jonathan |
Chief Operating Officer |
2023-01-18 |
406,985 |
2023-01-18 |
6,198 |
| Corley Elizabeth |
Director |
2022-04-21 |
26,599 |
2018-02-01 |
0 |
| Rooney Robert P |
Head of Tech/Ops/Resilience |
2022-01-20 |
253,946 |
2019-11-21 |
0 |
| Olayan Hutham S |
Director |
2021-05-20 |
194,388 |
2021-05-20 |
28,129 |
| Brodsky Jeffrey S |
Chief Human Resources Officer |
2021-01-21 |
150,095 |
2021-01-21 |
4,292 |
| Mitsubishi Ufj Financial Group Inc |
10% Owner |
2020-03-16 |
377,085,167 |
2020-10-19 |
0 |
| Wirth Paul C |
Deputy Chief Financial Officer |
2020-01-17 |
153,977 |
2013-01-22 |
0 |
| Kelleher Thomas Colm |
President |
2019-04-24 |
970,068 |
|
0 |
| Owens James W |
Director |
2018-05-24 |
82,783 |
2011-02-01 |
0 |
| Bowles Erskine B |
Director |
2018-02-01 |
159,236 |
2018-02-01 |
1,000 |
| Rosenthal James A |
Chief Operating Officer |
2016-11-18 |
172,909 |
2016-11-18 |
208,010 |
| Kleinfeld Klaus |
Director |
2016-09-15 |
51,952 |
2013-05-14 |
0 |
| Nicolaisen Donald T |
Director |
2016-08-02 |
89,802 |
2006-04-04 |
0 |
| Fleming Gregory J |
President-Wealth & Invest Mgt |
2015-07-23 |
498,726 |
2015-07-23 |
104,550 |
| Davies Howard J |
Director |
2015-05-19 |
67,151 |
2004-05-01 |
0 |
| Tyson Laura D |
Director |
2015-05-19 |
76,549 |
2004-04-20 |
0 |
| Porat Ruth |
Chief Financial Officer |
2015-03-02 |
881,037 |
2015-03-02 |
37,921 |
| Sexton O Griffith |
Director |
2014-11-01 |
740,053 |
2010-11-18 |
8,627 |
| Kidder C Robert |
Director |
2014-05-13 |
158,731 |
2004-01-09 |
0 |
| Taubman Paul J |
Co-President-Instl Securities |
2012-01-20 |
1,269,223 |
2012-01-20 |
12,273 |
| Bostock Roy J |
Director |
2011-05-18 |
77,487 |
2011-05-18 |
1,775 |
| Hance James H Jr |
Director |
2011-05-18 |
46,946 |
|
0 |
| Deregt Kenneth Michael |
Global Head-FI Sales/Trading |
2011-01-21 |
229,865 |
2011-01-21 |
548 |
| Mack John J |
Chairman of the Board, Director |
2011-01-21 |
1,816,301 |
2011-01-21 |
857,677 |
| Barron Francis P |
Chief Legal Officer |
2011-01-21 |
69,441 |
2011-01-21 |
0 |
| Chammah Walid A |
Chairman/CEO of MS Intl |
2010-10-07 |
639,269 |
2010-10-07 |
4,411 |
| Nides Thomas R |
Chief Operating Officer |
2010-10-07 |
207,612 |
2010-10-07 |
836 |
| Johnston Charles D |
Head of Morgan Stanley SB |
2010-01-21 |
137,436 |
2010-01-21 |
94 |
| Lynch Gary G |
Chief Legal Officer |
2010-01-21 |
523,205 |
2010-01-21 |
609 |
| Phillips Jr Charles E |
Director |
2009-07-28 |
24,521 |
2009-07-28 |
2,594 |
| Noski Charles H |
Director |
2009-04-29 |
42,096 |
2005-10-01 |
0 |
| Riefler Linda H |
Officer |
2009-01-01 |
85,841 |
2009-01-01 |
6,019 |
| Cruz Zoe |
Co-President |
2007-09-10 |
1,667,827 |
2007-09-10 |
10,996 |
| Murray Eileen K |
Head of Global Ops/Tech |
2007-04-13 |
297,040 |
2007-04-13 |
7,903 |
| Zumwinkel Klaus |
Director |
2007-04-10 |
15,102 |
2004-03-01 |
0 |
| Scully Robert W |
Co-President |
2006-12-29 |
478,462 |
2006-12-29 |
51,885 |
| Sidwell David H |
Chief Financial Officer |
2006-12-12 |
520,791 |
2006-12-12 |
170 |
| Hochschild Roger C |
Business Unit Head |
2006-10-12 |
160,432 |
2006-10-12 |
1,030 |
| Daula Thomas V |
Chief Risk Officer |
2006-10-11 |
75,707 |
2006-10-11 |
1,111 |
| Nelms David W |
Business Unit Head |
2006-10-04 |
448,229 |
2006-10-04 |
872 |
| Thomas Owen D |
Business Unit Head |
2006-05-05 |
448,176 |
2006-05-05 |
7,061 |
| Heleniak David W |
Vice Chairman |
2006-02-14 |
314,553 |
2006-02-14 |
104 |
| Spencer Cordell G |
Business Unit Head |
2006-02-03 |
276,251 |
2006-02-03 |
5,488 |
| Shear Neal A |
Business Unit Head |
2005-12-23 |
723,210 |
2005-12-23 |
10,889 |
| Brennan Edward A |
Director |
2005-12-23 |
5,354 |
2005-12-23 |
198,502 |
| Chenevix-Trench Jonathan |
Business Unit Head |
2005-12-13 |
711,011 |
2005-12-13 |
657 |
| Johansson Jerker M |
Business Unit Head |
2005-12-13 |
402,684 |
2005-12-13 |
4,079 |
| Morrison Alasdair G |
Business Unit Head |
2005-12-13 |
122,505 |
|
0 |
| Harris Raymond |
Acting Business Unit Head |
2005-12-13 |
100,053 |
2005-12-13 |
7,720 |
| Moser David S |
Principal Accounting Officer |
2005-09-08 |
13,707 |
2005-09-08 |
5,408 |
| Merin Mitchell M |
Business Unit Head |
2005-09-08 |
467,797 |
2005-09-08 |
46,883 |
| Kempf Donald G Jr |
Chief Legal Officer |
2005-07-06 |
177,494 |
2005-07-06 |
1,003 |
| Uva Michael D |
|
2005-05-16 |
315,572 |
2005-05-16 |
6,752 |
| Perella Joseph R |
Former Vice Chairman |
2005-04-01 |
1,530,147 |
2005-04-01 |
4,297 |
| Abdel-Meguid Tarek F |
Business Unit Head |
2005-03-31 |
656,843 |
2005-03-31 |
5,056 |
| Havens John P |
Business Unit Head |
2005-03-21 |
1,389,101 |
2005-03-21 |
10,369 |
| Miles Michael A |
Director |
2005-03-15 |
65,623 |
2004-04-20 |
0 |
| Jacob John E |
Director |
2005-03-15 |
17,059 |
2004-04-20 |
0 |
| Marsh Miles L |
Director |
2005-03-15 |
28,861 |
2004-04-20 |
0 |
| Madigan John W |
Director |
2005-03-15 |
14,878 |
2004-04-20 |
0 |
| Knight Charles F |
Director |
2005-03-15 |
23,915 |
2004-04-20 |
0 |
| Schaefer John H |
Business Unit Head |
2005-01-07 |
312,100 |
2005-01-07 |
5,726 |
| Purcell Philip J |
Chairman of the Board and CEO, Director |
2005-01-04 |
3,146,348 |
2005-01-04 |
15,304 |
| Newhouse Stephan F |
President |
2005-01-03 |
1,271,544 |
2005-01-03 |
29,794 |
| Frank Alexander C |
Controller |
2004-12-23 |
23,931 |
2004-12-23 |
6,391 |
| Pandit Vikram S |
Business Unit Head |
2004-12-14 |
1,868,055 |
2004-12-14 |
10,211 |
| Crawford Stephen S |
Chief Admin Officer |
2004-12-14 |
274,146 |
2004-12-14 |
5,727 |
| Bauman Robert P |
Director |
2004-04-20 |
18,336 |
2004-04-20 |
0 |
| Scott Robert G |
Director |
2004-03-22 |
2,336,222 |
2004-03-22 |
12,140 |
| China Investment Corp |
10% Owner |
|
0 |
2010-08-09 |
150,782,379 |
|
1.43 (1.58%) 
