James A Rosenthal

Insider

First SEC filing: Jan. 7, 2011 · Latest: Jan. 7, 2011

On this page

Insider at Companies where this person is a reporting insider.
Insider transactions Every share this person bought or sold, from Form 4 filings.
Derivatives Options and other derivative holdings reported by this person.
Initial holdings The stakes this person held when they first started reporting.
Compensation Executive pay disclosed in company proxy statements.

Insider at

MS selling Nov. 18, 2016

Insider transactions

0 buys (P) 0 sells (S) Net: $0 + 40 non-open-market transactions below last 12 months, based on the transactions shown below

Price change vs current quote, split-adjusted for corporate actions since the filing — not benchmarked, not annualized, not size-weighted

40 other filings hidden

Date	Ticker	Code	Shares	Price	Value	Owned after	Δ own	A/D	vs now
Nov. 18, 2016	MS	M	121,351	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Nov. 18, 2016	MS	G	10,151	—	—	172,910 Direct	-5.55%	Disposed	(price as of 2026-08-20)
Nov. 18, 2016	MS	S	111,200	$40.34	$4,485,808	183,061 Direct	-37.79%	Disposed	430.1% (price as of 2026-08-20)
Nov. 18, 2016	MS	M	121,351	$30.01	$3,641,744	294,261 Direct	+70.18%	Acquired	612.5% (price as of 2026-08-20)
Oct. 27, 2016	MS	M	74,009	—	—	0 Direct	-100.00%	Disposed	(price as of 2026-08-20)
Oct. 27, 2016	MS	G	7,509	—	—	172,034 Direct	-4.18%	Disposed	(price as of 2026-08-20)
Oct. 27, 2016	MS	S	66,500	$33.89	$2,253,685	179,543 Direct	-27.03%	Disposed	531.0% (price as of 2026-08-20)
Oct. 27, 2016	MS	M	74,009	$22.98	$1,700,727	246,043 Direct	+43.02%	Acquired	830.5% (price as of 2026-08-20)
Oct. 20, 2016	MS	M	200,000	—	—	74,009 Direct	-72.99%	Disposed	(price as of 2026-08-20)
Oct. 20, 2016	MS	G	11,000	—	—	172,034 Direct	-6.01%	Disposed	(price as of 2026-08-20)
Oct. 20, 2016	MS	S	189,000	$32.85	$6,208,650	183,034 Direct	-50.80%	Disposed	550.9% (price as of 2026-08-20)
Oct. 20, 2016	MS	M	200,000	$22.98	$4,596,000	372,034 Direct	+116.26%	Acquired	830.5% (price as of 2026-08-20)
July 25, 2016	MS	M	100,000	—	—	274,009 Direct	-26.74%	Disposed	(price as of 2026-08-20)
July 25, 2016	MS	G	8,574	—	—	170,880 Direct	-4.78%	Disposed	(price as of 2026-08-20)
July 25, 2016	MS	S	91,426	$29.06	$2,656,840	179,454 Direct	-33.75%	Disposed	635.8% (price as of 2026-08-20)
July 25, 2016	MS	M	100,000	$22.98	$2,298,000	270,880 Direct	+58.52%	Acquired	830.5% (price as of 2026-08-20)
Feb. 26, 2016	MS	S	50,000	$25.13	$1,256,500	170,197 Indirect	-22.71%	Disposed	750.9% (price as of 2026-08-20)
Feb. 25, 2016	MS	G	71,670	—	—	169,905 Direct	-29.67%	Disposed	(price as of 2026-08-20)
Feb. 25, 2016	MS	F	90,550	$23.71	$2,146,940	241,575 Direct	-27.26%	Disposed	801.9% (price as of 2026-08-20)
Feb. 25, 2016	MS	A	162,220	—	—	332,125 Direct	+95.48%	Acquired	(price as of 2026-08-20)
Jan. 20, 2016	MS	G	13,143	—	—	168,834 Direct	-7.22%	Disposed	(price as of 2026-08-20)
Jan. 20, 2016	MS	F	9,434	$26.26	$247,737	181,977 Direct	-4.93%	Disposed	714.3% (price as of 2026-08-20)
Jan. 20, 2016	MS	A	69,531	—	—	191,411 Direct	+57.05%	Acquired	(price as of 2026-08-20)
July 31, 2015	MS	S	12,000	$39.25	$471,000	135,384 Indirect	-8.14%	Disposed	444.8% (price as of 2026-08-20)
April 21, 2015	MS	S	50,030	$37.10	$1,856,113	147,384 Indirect	-25.34%	Disposed	476.4% (price as of 2026-08-20)
March 2, 2015	MS	G	37,482	—	—	120,389 Direct	-23.74%	Disposed	(price as of 2026-08-20)
March 2, 2015	MS	F	47,358	$35.79	$1,694,943	157,871 Direct	-23.08%	Disposed	497.5% (price as of 2026-08-20)
March 2, 2015	MS	A	84,840	—	—	205,229 Direct	+70.47%	Acquired	(price as of 2026-08-20)
Jan. 21, 2015	MS	G	52,089	—	—	120,064 Direct	-30.26%	Disposed	(price as of 2026-08-20)
Jan. 21, 2015	MS	F	52,533	$34.75	$1,825,522	172,153 Direct	-23.38%	Disposed	515.3% (price as of 2026-08-20)
Jan. 21, 2015	MS	A	53,340	—	—	224,688 Direct	+31.13%	Acquired	(price as of 2026-08-20)
July 18, 2014	MS	S	30,800	$32.50	$1,001,000	107,843 Indirect	-22.22%	Disposed	557.9% (price as of 2026-08-20)
Feb. 12, 2014	MS	S	33,500	$30.18	$1,011,030	138,643 Indirect	-19.46%	Disposed	608.5% (price as of 2026-08-20)
Jan. 28, 2014	MS	G	29,069	—	—	169,484 Direct	-14.64%	Disposed	(price as of 2026-08-20)
Jan. 28, 2014	MS	F	34,622	$29.98	$1,037,968	198,553 Direct	-14.85%	Disposed	613.2% (price as of 2026-08-20)
Jan. 28, 2014	MS	A	24,046	—	—	233,175 Direct	+11.50%	Acquired	(price as of 2026-08-20)
Jan. 27, 2014	MS	G	42,603	—	—	209,130 Direct	-16.92%	Disposed	(price as of 2026-08-20)
Jan. 27, 2014	MS	F	38,883	$30.04	$1,168,045	251,733 Direct	-13.38%	Disposed	611.8% (price as of 2026-08-20)
Jan. 21, 2014	MS	A	87,998	—	—	290,616 Direct	+43.43%	Acquired	(price as of 2026-08-20)
July 31, 2013	MS	S	12,850	$27.32	$351,062	100,471 Indirect	-11.34%	Disposed	682.7% (price as of 2026-08-20)
May 9, 2013	MS	G	113,321	—	—	201,902 Direct	-35.95%	Disposed	(price as of 2026-08-20)
Feb. 1, 2013	MS	F	31,071	$23.36	$725,819	314,390 Direct	-8.99%	Disposed	815.4% (price as of 2026-08-20)
Jan. 22, 2013	MS	A	374,009	—	—	374,009 Direct	—	Acquired	(price as of 2026-08-20)
March 5, 2012	MS	F	18,156	$18.48	$335,523	343,071 Direct	-5.03%	Disposed	1057.1% (price as of 2026-08-20)
Jan. 20, 2012	MS	F	21,018	$18.12	$380,846	360,605 Direct	-5.51%	Disposed	1080.1% (price as of 2026-08-20)
Jan. 20, 2012	MS	A	159,700	—	—	381,623 Direct	+71.96%	Acquired	(price as of 2026-08-20)
July 22, 2011	MS	S	5,548	$23.72	$131,599	221,175 Direct	-2.45%	Disposed	801.5% (price as of 2026-08-20)
July 22, 2011	MS	S	2,452	$23.73	$58,186	226,723 Direct	-1.07%	Disposed	801.1% (price as of 2026-08-20)
May 20, 2011	MS	F	35,304	$24.12	$851,532	229,175 Direct	-13.35%	Disposed	786.5% (price as of 2026-08-20)
Feb. 15, 2011	MS	I	1,311	$30.32	$39,750	0 Indirect	-100.00%	Disposed	605.2% (price as of 2026-08-20)
Jan. 21, 2011	MS	A	121,351	—	—	121,351 Direct	—	Acquired	(price as of 2026-08-20)
Jan. 21, 2011	MS	A	76,949	—	—	264,479 Direct	+41.03%	Acquired	(price as of 2026-08-20)

P = Open-market purchase · S = Sale · A = Grant/award · M = Option exercise · G = Gift · F = Tax withholding

Insider transactions are not a recommendation; sales are often driven by liquidity or tax reasons.

Derivative holdings (Form 4 Table II)

Options, RSUs and convertible securities reported on Form 4 Table II.

Date	Ticker	Security	Underlying	Exercise price	Expiration	Shares	A/D
Nov. 18, 2016	MS	Employee Stock Option (Right to Buy)	Common Stock (121,351)	$30.01	Jan. 21, 2018	121,351	Disposed
Oct. 27, 2016	MS	Employee Stock Option (Right to Buy)	Common Stock (74,009)	$22.98	Jan. 22, 2018	74,009	Disposed
Oct. 20, 2016	MS	Employee Stock Option (Right to Buy)	Common Stock (200,000)	$22.98	Jan. 22, 2018	200,000	Disposed
July 25, 2016	MS	Employee Stock Option (Right to Buy)	Common Stock (100,000)	$22.98	Jan. 22, 2018	100,000	Disposed
Jan. 22, 2013	MS	Employee Stock Option (Right to Buy)	Common Stock (374,009)	$22.98	Jan. 22, 2018	374,009	Acquired
Jan. 21, 2011	MS	Employee Stock Option (Right to Buy)	Common Stock (121,351)	$30.01	Jan. 21, 2018	121,351	Acquired

Exercise/conversion price is blank when not applicable (e.g. RSUs).

Initial ownership (Form 3) 2 holdings

Securities held when first becoming an insider, per SEC Form 3.

Date	Ticker	Security	Shares	Ownership
Jan. 7, 2011	MS	Common Stock	187,530	Direct
Jan. 7, 2011	MS	Common Stock	1,101	Indirect

Compensation (DEF 14A)

Matched by name from proxy statements (DEF 14A) — verify against the filing.

MS

Fiscal year	Salary	Bonus	Stock awards	Option awards	Non-equity incentive	Pension change	Other	Total
2014	$1,000,000	$5,205,325	$6,474,027	—	—	$12,384	$10,400	$12,702,136
2013	$1,000,000	$3,113,000	$3,189,519	$2,024,997	—	—	$10,200	$9,337,716

Figures from the Summary Compensation Table of the company's proxy statement (DEF 14A). Compensation is not a recommendation.