0000899243-19-001746.txt : 20190123 0000899243-19-001746.hdr.sgml : 20190123 20190123180109 ACCESSION NUMBER: 0000899243-19-001746 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190118 FILED AS OF DATE: 20190123 DATE AS OF CHANGE: 20190123 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MITSUBISHI UFJ FINANCIAL GROUP INC CENTRAL INDEX KEY: 0000067088 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11758 FILM NUMBER: 19538250 BUSINESS ADDRESS: STREET 1: 7-1 MARUNOUCHI 2-CHOME STREET 2: CHIYODA-KU CITY: TOKYO STATE: M0 ZIP: 100-8330 BUSINESS PHONE: 2125301784 MAIL ADDRESS: STREET 1: 1251 AVENUE OF THE AMERICAS 10020-1104 CITY: NEW YORK STATE: NY ZIP: 10020-1104 FORMER NAME: FORMER CONFORMED NAME: BANK OF TOKYO MITSUBISHI LTD /ADR/ DATE OF NAME CHANGE: 20010402 FORMER NAME: FORMER CONFORMED NAME: MITSUBISHI BANK LTD /ADR/ DATE OF NAME CHANGE: 19920929 FORMER NAME: FORMER CONFORMED NAME: MITSUBISHI TOKYO FINANCIAL GROUP INC DATE OF NAME CHANGE: 19920929 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 212-761-4000 MAIL ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 FORMER COMPANY: FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO DATE OF NAME CHANGE: 19980326 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 4 1 doc4.xml FORM 4 SUBMISSION X0306 4 2019-01-18 0 0000895421 MORGAN STANLEY MS 0000067088 MITSUBISHI UFJ FINANCIAL GROUP INC 7-1, MARUNOUCHI 2-CHOME, CHIYODA-KU TOKYO M0 100-8330 JAPAN 0 0 1 0 Common Shares 2019-01-18 4 X 0 700000 46.00 D 412270202 I Through Subsidiary Call Option (obligation to sell) 46.00 2019-01-18 4 E 0 7000 0.00 D 2018-11-05 2019-01-18 Common Shares 700000 7000 I Through Subsidiary Put Option (right to sell) 46.00 2019-01-18 4 X 0 7000 0.00 D 2018-11-05 2019-01-18 Common Shares 700000 7000 I Through Subsidiary The reported transactions were effected by a wholly owned subsidiary of the Reporting Person. The premium received from writing the call options, which occurred on November 5, 2018, has been disgorged to the Issuer. Each option contract represents 100 Common Shares. /s/ Hiroshi Kasugai, Managing Director 2019-01-23