X0306 4 2014-04-23 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 Non-Cumulative Preferred Stock, Series H 2014-04-23 4 P 0 125000 1.013 A 125000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-05-06 4 S 0 125000 1.016 D 0 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-08-21 4 P 0 210000 1.02 A 210000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-08-21 4 S 0 210000 1.06 D 0 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-04 4 P 0 210000 1.02 A 210000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-04 4 S 0 210000 1.06 D 0 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-05 4 P 0 140000 1.01 A 140000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-05 4 S 0 140000 1.05 D 0 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-15 4 S 0 49000 1.005 D 49000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-16 4 S 0 100000 1.004 D 149000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-18 4 P 0 70000 1.01 A 79000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-18 4 S 0 70000 1.05 D 149000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-24 4 S 0 20000 1.003 D 169000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-25 4 P 0 250000 0.999 A 81000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-25 4 S 0 65000 1.001 D 16000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-26 4 P 0 280000 1.00 A 296000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-09-26 4 S 0 280000 1.04 D 16000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-09 4 P 0 140000 1.01 A 156000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-09 4 S 0 140000 1.05 D 16000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-10 4 P 0 70000 1.01 A 86000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-10 4 S 0 135000 1.008 D 49000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-10 4 S 0 70000 1.05 D 119000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-17 4 P 0 70000 1.00 A 49000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-17 4 S 0 70000 1.04 D 119000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-22 4 P 0 150000 1.005 A 31000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-10-24 4 S 0 70000 1.005 D 39000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-11-07 4 P 0 140000 1.00 A 101000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-11-07 4 S 0 140000 1.04 D 39000 I Through Subsidiary Non-Cumulative Preferred Stock, Series H 2014-11-18 4 P 0 39000 1.009 A 0 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 53.17 2018-04-03 4 J 1 130000 D 2018-06-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 51.08 2018-05-03 4 J 1 130000 A 2018-06-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 51.08 2018-05-03 4 J 1 130000 D 2018-06-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 51.55 2018-06-04 4 J 1 130000 A 2018-06-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 51.55 2018-06-04 4 J 1 130000 D 2018-09-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 46.70 2018-07-05 4 J 1 130000 A 2018-09-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 46.70 2018-07-05 4 J 1 130000 D 2018-09-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 49.99 2018-08-06 4 J 1 130000 A 2018-09-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 49.99 2018-08-06 4 J 1 130000 D 2018-09-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 48.71 2018-09-04 4 J 1 130000 A Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 48.71 2018-09-04 4 J 1 130000 D 2018-12-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 47.27 2018-10-04 4 J 1 130000 A 2018-12-04 Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 47.27 2018-10-04 4 J 1 130000 D 2018-12-04 Common Shares 130000 130000 I Through Subsidiary Call Option (obligation to sell) 46.00 2018-11-05 4 S 0 7000 242.00 D 2018-11-05 2019-01-18 Common Shares 700000 7000 I Through Subsidiary Put Option(right to sell) 46.00 2018-11-05 4 P 0 7000 217.00 A 2018-11-05 2019-01-18 Common Shares 700000 7000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 45.82 2018-11-05 4 J 1 130000 A Common Shares 130000 130000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 45.73 2018-11-09 4 J 1 38000 D 2018-12-17 Common Shares 38000 38000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 44.41 2018-11-19 4 J 1 38000 A 2018-12-17 Common Shares 38000 38000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 44.41 2018-11-19 4 J 1 38000 D 2018-12-17 Common Shares 38000 38000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 44.05 2018-11-27 4 J 1 38000 A 2018-12-17 Common Shares 38000 38000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 44.05 2018-11-27 4 J 1 38000 D 2018-12-17 Common Shares 38000 38000 I Through Subsidiary Total Rate of Return Basket Swap (put equivalent position) 39.60 2018-12-17 4 J 1 38000 A Common Shares 38000 38000 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 director of Morgan Stanley by deputization. Each reported share of the Series H and J Preferred stock, as applicable, represents $1 of liquidation value of that security. Each reported share of the Series I Preferred stock represents $25 of liquidation value of that security. Amounts shown in Column 5 of Item I are aggregated for Series H and J Preferred stock which are deemed to be the same class of securities. Series I Preferred stock amounts are reported separately. Reflects the Reporting Person's pecuniary interest in transactions effected by its subsidiaries. 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 Reporting Person is continuing to review its trading activity in Morgan Stanley equity securities, and will make further disclosures should it determine that it is necessary to do so. This number is negative. On April 3, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Reflects an amendment of an outstanding total rate of return basket swap. The Reporting Person disclaims that this amendment and the total rate of return basket swap is subject to Section 16. Reflects cash settlement of an outstanding total rate of return basket swap. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. The expiration of this call option was previously reported by the Reporting Person. Each option contract represents 100 Common Shares. The exercise of this put option was previously reported by the Reporting Person. On November 9, 2018, the Reporting Person entered into a total rate of return basket swap with a counterparty under which, upon each reset and expiration of the agreement (i) the Reporting Person was obligated to pay in cash to the counterparty any increase in the market value of shares of common stock at such reset date or expiration compared to the previous reset dates (or, in the case of the first reset date, the trade date), (ii) the counterparty was obligated to pay in cash to the Reporting Person the absolute value of any decrease in the market value of shares of common stock and (iii) the counterparty was also obligated to pay to the Reporting Person an "interest" on the notional amount of the agreement at the LIBOR rate plus spread. The Reporting Person disclaims that this total rate of return basket swap is subject to Section 16. Balance of trades included in attached schedule. (See Exhibit 99) /s/ Masato Watanabe, Managing Director 2019-09-20