0000899243-20-028929.txt : 20201021 0000899243-20-028929.hdr.sgml : 20201021 20201021204406 ACCESSION NUMBER: 0000899243-20-028929 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131028 FILED AS OF DATE: 20201021 DATE AS OF CHANGE: 20201021 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: 201251446 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 2013-10-28 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 Stock 2020-06-24 4 S 0 1.788 46.95 D 377084705.238 I Through Subsidiary Common Stock 2020-06-24 4 S 0 0.383 46.95 D 377084704.855 I Through Subsidiary Common Stock 2020-10-19 4 S 0 96.835 52.05 D 377084608 I Through Subsidiary Common Stock 2020-10-19 4 S 0 0.246 52.11 D 377084607.754 I Through Subsidiary Common Stock 2020-10-19 4 S 0 12.666 52.11 D 377084595.087 I Through Subsidiary Common Stock 2020-10-19 4 S 0 12.384 52.11 D 377084582.704 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2020-10-19 4 S 0 1020000 0.9613 D 0 I Through Subsidiary By virtue of its right to appoint two directors to the Board of Directors of Morgan Stanley, the Reporting Person is also a director of Morgan Stanley by deputization. The purchases and sales reflect the Reporting Person's pecuniary interest in transactions effected by its wholly-owned subsidiaries indirectly through certain investment funds. The Reporting Person has disgorged the profits realized by these transactions to the Issuer, including all transactions as to which the Reporting Person has disclaimed beneficial ownership and all transactions and securities which the Reporting Person has disclaimed being subject to Section 16. The amounts reported in this column reflect not only the transactions set forth in this disclosure, but also those reported in prior Form 4 filings. This Form 4 is the result of the Reporting Person's review of past trading activity in Morgan Stanley equity securities. That review, which began in late 2018, remains ongoing, and the Reporting Person will make further disclosures should it determine that it is necessary to do so. Each reported share of the Series H Preferred Stock represents $1 of liquidation value of that security. Form 4 of 4 /s/ Miki Katayama, Managing Director 2020-10-21