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| SEC Filing | Company/Stock | Trade Date | Transaction | Shares | Avg. Price | Total | % Holdings | Gain/Loss |
|---|---|---|---|---|---|---|---|---|
| 31-Aug-15 5:01 PM View:  | Morgan Stanley (MS) | 23-Jul-15 | Gift | 14,909 | -- | -- | (2%) 618.18K to 603.28K | |
| 02-Mar-15 4:50 PM View: | Morgan Stanley (MS) | 02-Mar-15 | Grant | 99,468 | -- | -- | 17% 568.57K to 668.04K | |
| 02-Mar-15 4:50 PM View: | Morgan Stanley (MS) | 02-Mar-15 | Payment of Exercise | 51,296 | $35.79 | $1,835,880.00 | (8%) 668.04K to 616.75K | (110%) |
| 23-Jan-15 4:15 PM View: | Morgan Stanley (MS) | 21-Jan-15 | Grant | 84,048 | -- | -- | 15% 544.3K to 628.35K | |
| 23-Jan-15 4:15 PM View: | Morgan Stanley (MS) | 21-Jan-15 | Payment of Exercise | 60,269 | $34.75 | $2,094,350.00 | (10%) 628.35K to 568.08K | (117%) |
| 24-Jul-14 5:04 PM View: | Morgan Stanley (MS) | 22-Jul-14 | Option Exercise | 100,000 | $22.98 | $2,298,000.00 | 18% 542.98K to 642.98K | |
| 24-Jul-14 5:04 PM View: | Morgan Stanley (MS) | 22-Jul-14 | Market Option Sale | 100,000 | $33.02 | $3,301,730.00 | (16%) 642.98K to 542.98K | (130%) |
| 29-Jan-14 4:43 PM View: | Morgan Stanley (MS) | 28-Jan-14 | Grant | 36,592 | -- | -- | 7% 524.13K to 560.72K | |
| 29-Jan-14 4:43 PM View: | Morgan Stanley (MS) | 28-Jan-14 | Payment of Exercise | 18,871 | $29.99 | $565,847.00 | (3%) 560.72K to 541.85K | (154%) |
| 29-Jan-14 4:43 PM View: | Morgan Stanley (MS) | 27-Jan-14 | Payment of Exercise | 72,055 | $30.03 | $2,164,170.00 | (12%) 596.18K to 524.13K | (154%) |
| 23-Jan-14 5:02 PM View: | Morgan Stanley (MS) | 21-Jan-14 | Grant | 127,826 | -- | -- | 27% 468.36K to 596.18K | |
| 12-Feb-13 6:17 PM View: | Morgan Stanley (MS) | 12-Feb-13 | Acquisition (other) | 29,853 | $23.43 | $699,456.00 | 6% 466.44K to 496.29K | 227% |
| 12-Feb-13 6:17 PM View: | Morgan Stanley (MS) | 12-Feb-13 | Disposition (other) | 29,853 | $23.43 | $699,456.00 | (6%) 496.29K to 466.44K | (227%) |
| 12-Feb-13 6:17 PM View: | Morgan Stanley (MS) | 08-Feb-13 | Payment of Exercise | 55,823 | $23.23 | $1,296,490.00 | (11%) 522.26K to 466.44K | (230%) |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 07-Feb-13 | Acquisition (other) | 28,775 | $23.13 | $665,566.00 | 6% 522.26K to 551.03K | 231% |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 07-Feb-13 | Disposition (other) | 28,775 | $23.13 | $665,566.00 | (5%) 551.03K to 522.26K | (231%) |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 06-Feb-13 | Acquisition (other) | 18,398 | $23.34 | $429,409.00 | 4% 522.26K to 540.66K | 228% |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 06-Feb-13 | Disposition (other) | 18,398 | $23.34 | $429,409.00 | (3%) 540.66K to 522.26K | (228%) |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 05-Feb-13 | Acquisition (other) | 6,723 | $23.25 | $156,310.00 | 1% 522.26K to 528.98K | 230% |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 05-Feb-13 | Disposition (other) | 6,723 | $23.25 | $156,310.00 | (1%) 528.98K to 522.26K | (230%) |
| 05-Feb-13 7:06 PM View: | Morgan Stanley (MS) | 01-Feb-13 | Payment of Exercise | 23,599 | $23.35 | $551,155.00 | (4%) 545.86K to 522.26K | (228%) |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 30-Jan-13 | Acquisition (other) | 8,506 | $22.68 | $192,916.00 | 2% 522.26K to 530.76K | 239% |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 30-Jan-13 | Disposition (other) | 8,506 | $22.68 | $192,916.00 | (2%) 530.76K to 522.26K | (239%) |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 28-Jan-13 | Acquisition (other) | 12,295 | $22.55 | $277,252.00 | 2% 522.26K to 534.55K | 241% |
| 07-Feb-13 6:43 PM View: | Morgan Stanley (MS) | 28-Jan-13 | Disposition (other) | 12,295 | $22.55 | $277,252.00 | (2%) 534.55K to 522.26K | (241%) |
| 09-Feb-12 5:35 PM View: | Morgan Stanley (MS) | 08-Feb-12 | Payment of Exercise | 46,181 | $20.27 | $936,089.00 | (8%) 588.16K to 541.98K | (280%) |
| 20-Jan-12 4:40 PM View: | Morgan Stanley (MS) | 20-Jan-12 | Grant | 187,234 | -- | -- | 47% 400.93K to 588.16K | |
| 10-Feb-11 5:37 PM View: | Morgan Stanley (MS) | 08-Feb-11 | Payment of Exercise | 50,879 | $30.58 | $1,555,630.00 | (11%) 450.67K to 399.79K | (154%) |
| 21-Jan-11 5:15 PM View: | Morgan Stanley (MS) | 21-Jan-11 | Grant | 117,096 | -- | -- | 35% 333.57K to 450.67K | |
| 10-Feb-10 6:15 PM View: | Morgan Stanley (MS) | 08-Feb-10 | Grant | 333,573 | -- | -- | 100% 0 to 333.57K | |
| 05-Jan-09 5:35 PM View: | Merrill Lynch & Co., Inc. (MER) | 01-Jan-09 | Disposition | 784,605 | -- | -- | (100%) 784.61K to 0 | |
| 05-Jan-09 5:35 PM View: | Merrill Lynch & Co., Inc. (MER) | 31-Dec-08 | Grant | 121,358 | -- | -- | 18% 663.25K to 784.61K | |
| 31-Jul-08 4:36 PM View: | Merrill Lynch & Co., Inc. (MER) | 29-Jul-08 | Market Purchase | 100,000 | $22.50 | $2,250,000.00 | 18% 563.06K to 663.06K | (29%) |
| 14-Mar-08 4:22 PM View: | Merrill Lynch & Co., Inc. (MER) | 13-Mar-08 | Disposition | 37,948 | -- | -- | (6%) 600.97K to 563.02K | |
| 04-Feb-08 2:58 PM View: | Merrill Lynch & Co., Inc. (MER) | 31-Jan-08 | Payment of Exercise | 72,069 | $55.65 | $4,010,640.00 | (11%) 673.01K to 600.94K | 71% |
| 25-Sep-07 4:54 PM View: | Merrill Lynch & Co., Inc. (MER) | 21-Sep-07 | Grant | 110 | $75.02 | $8,251.76 | < 1% 672.86K to 672.97K | (78%) |
| 08-Feb-07 5:05 PM View: | Merrill Lynch & Co., Inc. (MER) | 06-Feb-07 | Market Sale | 45,020 | $94.09 | $4,235,790.00 | (6%) 717.83K to 672.81K | 83% |
| 02-Feb-07 4:06 PM View: | Merrill Lynch & Co., Inc. (MER) | 31-Jan-07 | Grant | 121,363 | -- | -- | 19% 631.55K to 752.92K | |
| 02-Feb-07 4:06 PM View: | Merrill Lynch & Co., Inc. (MER) | 31-Jan-07 | Payment of Exercise | 35,089 | $92.60 | $3,249,240.00 | (5%) 752.92K to 717.83K | 82% |
| 24-Jan-07 4:20 PM View: | Merrill Lynch & Co., Inc. (MER) | 22-Jan-07 | Grant | 192,017 | -- | -- | 44% 439.53K to 631.54K | |
| 08-Aug-06 5:43 PM View: | Merrill Lynch & Co., Inc. (MER) | 07-Aug-06 | Market Option Sale | 6,455 | $72.52 | $468,124.00 | (1%) 445.96K to 439.5K | 77% |
| 08-Aug-06 5:43 PM View: | Merrill Lynch & Co., Inc. (MER) | 04-Aug-06 | Payment of Exercise | 12,751 | $73.22 | $933,628.00 | (3%) 458.68K to 445.93K | 77% |
| 08-Aug-06 5:43 PM View: | Merrill Lynch & Co., Inc. (MER) | 04-Aug-06 | Option Exercise | 17,816 | $36.17 | $644,439.00 | 4% 440.86K to 458.68K | |
| 23-Feb-06 4:48 PM View: | Merrill Lynch & Co., Inc. (MER) | 22-Feb-06 | Market Option Sale | 4,188 | $76.90 | $322,057.00 | (< 1%) 447.25K to 443.06K | 78% |
| 23-Feb-06 4:48 PM View: | Merrill Lynch & Co., Inc. (MER) | 22-Feb-06 | Market Sale | 2,203 | $76.90 | $169,411.00 | (< 1%) 443.06K to 440.86K | 78% |
| 23-Feb-06 4:48 PM View: | Merrill Lynch & Co., Inc. (MER) | 21-Feb-06 | Payment of Exercise | 2,798 | $75.78 | $212,032.00 | (< 1%) 450.7K to 447.9K | 78% |
| 23-Feb-06 4:48 PM View: | Merrill Lynch & Co., Inc. (MER) | 21-Feb-06 | Gift | 660 | -- | -- | (< 1%) 447.9K to 447.24K | |
| 23-Feb-06 4:48 PM View: | Merrill Lynch & Co., Inc. (MER) | 21-Feb-06 | Option Exercise | 4,188 | $31.00 | $129,828.00 | < 1% 446.51K to 450.7K | |
| 25-Jan-06 2:27 PM View: | Merrill Lynch & Co., Inc. (MER) | 23-Jan-06 | Grant | 163,662 | -- | -- | 58% 282.85K to 446.51K | |
| 24-Oct-05 12:29 PM View: | Merrill Lynch & Co., Inc. (MER) | 21-Oct-05 | Market Sale | 8,000 | $62.30 | $498,400.00 | (3%) 290.84K to 282.84K | 73% |