10.9M XNYS Volume
XNYS 21 Mar, 2025 5:30 PM (EDT)
| Client Name | Client Category | Action | Reported to Exchange | Quantity | Post Transaction Holding | Traded % | Avg. Price | Value | Security Type |
|---|---|---|---|---|---|---|---|---|---|
| Eric F. Grossman | Chief Legal/Admin Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 134.34 per share. | 21 Feb 2025 | 22,673 | 220,211 (0%) | 0% | 134.3 | 3,045,891 | Common Stock |
| Eric F. Grossman | Chief Legal/Admin Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Feb 2025 | 44,410 | 242,884 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Co-President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Feb 2025 | 64,908 | 490,761 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Co-President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 134.34 per share. | 21 Feb 2025 | 35,895 | 454,866 (0%) | 0% | 134.3 | 4,822,134 | Common Stock |
| Edward N. Pick | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 134.34 per share. | 21 Feb 2025 | 68,835 | 670,818 (0%) | 0% | 134.3 | 9,247,294 | Common Stock |
| Edward N. Pick | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Feb 2025 | 124,351 | 739,653 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 134.34 per share. | 21 Feb 2025 | 48,833 | 375,765 (0%) | 0% | 134.3 | 6,560,225 | Common Stock |
| Andrew M. Saperstein | Co-President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Feb 2025 | 95,655 | 424,598 (0%) | 0% | 0 | Common Stock | |
| Mandell L. Crawley | Chief Client Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 134.34 per share. | 21 Feb 2025 | 7,849 | 63,140 (0%) | 0% | 134.3 | 1,054,435 | Common Stock |
| Mandell L. Crawley | Chief Client Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Feb 2025 | 15,372 | 70,989 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Feb 2025 | 27,895 | 155,660 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 134.34 per share. | 21 Feb 2025 | 15,427 | 140,233 (0%) | 0% | 134.3 | 2,072,463 | Common Stock |
| Mandell L. Crawley | Chief Client Officer | Sale of securities on an exchange or to another person at price $ 138.06 per share. | 22 Jan 2025 | 8,312 | 55,248 (0%) | 0% | 138.1 | 1,147,555 | Common Stock |
| Eric F. Grossman | Chief Legal/Admin Officer | Sale of securities on an exchange or to another person at price $ 136.20 per share. | 21 Jan 2025 | 13,097 | 197,444 (0%) | 0% | 136.2 | 1,783,754 | Common Stock |
| Daniel A. Simkowitz | Co-President | Sale of securities on an exchange or to another person at price $ 136.22 per share. | 21 Jan 2025 | 22,111 | 438,249 (0%) | 0% | 136.2 | 3,011,907 | Common Stock |
| Daniel A. Simkowitz | Co-President | Sale of securities on an exchange or to another person at price $ 137.20 per share. | 21 Jan 2025 | 14,520 | 423,729 (0%) | 0% | 137.2 | 1,992,161 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 136.01 per share. | 21 Jan 2025 | 17,500 | 81,439 (0%) | 0% | 136.0 | 2,380,175 | Common Stock |
| Andrew M. Saperstein | Co-President | Sale of securities on an exchange or to another person at price $ 137.61 per share. | 21 Jan 2025 | 100 | 327,007 (0%) | 0% | 137.6 | 13,761 | Common Stock |
| Andrew M. Saperstein | Co-President | Sale of securities on an exchange or to another person at price $ 136.07 per share. | 21 Jan 2025 | 18,833 | 338,994 (0%) | 0% | 136.1 | 2,562,557 | Common Stock |
| Andrew M. Saperstein | Co-President | Sale of securities on an exchange or to another person at price $ 136.99 per share. | 21 Jan 2025 | 11,887 | 327,107 (0%) | 0% | 137.0 | 1,628,357 | Common Stock |
| Sharon Yeshaya | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 21 Jan 2025 | 13,295 | 13,295 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 21 Jan 2025 | 735 | 126,920 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 21 Jan 2025 | 13,295 | 127,655 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal/Admin Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2025 | 43,947 | 246,266 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal/Admin Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 135.81 per share. | 17 Jan 2025 | 22,714 | 223,552 (0%) | 0% | 135.8 | 3,084,788 | Common Stock |
| Daniel A. Simkowitz | Co-President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 135.81 per share. | 17 Jan 2025 | 38,878 | 460,360 (0%) | 0% | 135.8 | 5,280,021 | Common Stock |
| Daniel A. Simkowitz | Co-President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2025 | 51,256 | 499,238 (0%) | 0% | 0 | Common Stock | |
| Raja J. Akram | Deputy Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 135.81 per share. | 17 Jan 2025 | 12,966 | 98,939 (0%) | 0% | 135.8 | 1,760,912 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2025 | 23,462 | 111,905 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2025 | 35,632 | 842,447 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 135.81 per share. | 17 Jan 2025 | 40,052 | 802,395 (0%) | 0% | 135.8 | 5,439,462 | Common Stock |
| Edward N. Pick | Director, Chairman and CEO | Other type of transaction at price $ 136.31 per share. | 17 Jan 2025 | 181,976 | 620,419 (0%) | 0% | 136.3 | 24,804,239 | Common Stock |
| Edward N. Pick | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 17 Jan 2025 | 7,101 | 613,318 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 135.81 per share. | 17 Jan 2025 | 27,032 | 357,827 (0%) | 0% | 135.8 | 3,671,216 | Common Stock |
| Andrew M. Saperstein | Co-President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2025 | 51,256 | 384,859 (0%) | 0% | 0 | Common Stock | |
| Mandell L. Crawley | Chief Client Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 135.81 per share. | 17 Jan 2025 | 2,382 | 63,560 (0%) | 0% | 135.8 | 323,499 | Common Stock |
| Mandell L. Crawley | Chief Client Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2025 | 22,019 | 65,942 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2025 | 43,947 | 154,393 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 135.81 per share. | 17 Jan 2025 | 13,443 | 140,950 (0%) | 0% | 135.8 | 1,825,694 | Common Stock |
| Charles Aubrey Smith | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2025 | 29,328 | 158,045 (0%) | 0% | 0 | Common Stock | |
| Charles Aubrey Smith | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 135.81 per share. | 17 Jan 2025 | 20,237 | 137,808 (0%) | 0% | 135.8 | 2,748,387 | Common Stock |
| Stephen J. Luczo | Director | Sale or transfer of securities back to the company at price $ 0.00 per share. | 31 Dec 2024 | 1,114 | 17,342 (0%) | 0% | 0 | Common Stock | |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 126.09 per share. | 31 Dec 2024 | 76 | 18,457 (0%) | 0% | 126.1 | 9,583 | Common Stock |
| Glocer Thomas Henry | Director | Grant, award, or other acquisition of securities at price $ 132.10 per share. | 01 Dec 2024 | 757 | 114,772 (0%) | 0% | 132.1 | 100,000 | Common Stock |
| M. Perry Traquina | Director | Grant, award, or other acquisition of securities at price $ 132.08 per share. | 01 Dec 2024 | 530 | 83,168 (0%) | 0% | 132.1 | 70,000 | Common Stock |
| L. Mary Schapiro | Director | Grant, award, or other acquisition of securities at price $ 132.28 per share. | 01 Dec 2024 | 378 | 36,581 (0%) | 0% | 132.3 | 50,000 | Common Stock |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 132.28 per share. | 01 Dec 2024 | 378 | 18,381 (0%) | 0% | 132.3 | 50,000 | Common Stock |
| Stephen J. Luczo | Director | Sale of securities on an exchange or to another person at price $ 119.17 per share. | 17 Oct 2024 | 60,000 | 138,363 (0%) | 0% | 119.2 | 7,150,470 | Common Stock |
| Eric F. Grossman | Chief Legal/Admin Officer | Other type of transaction at price $ 0.00 per share. | 13 Aug 2024 | 58,705 | 200,032 (0%) | 0% | 0 | Common Stock | |
| Mandell L. Crawley | Chief Human Resources Officer | Sale of securities on an exchange or to another person at price $ 105.25 per share. | 26 Jul 2024 | 3,500 | 43,224 (0%) | 0% | 105.3 | 368,375 | Common Stock |
| James P. Gorman | Director, Executive Chairman | Gift of securities by or to the insider at price $ 0.00 per share. | 24 Jul 2024 | 9,700 | 406,351 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 104.00 per share. | 19 Jul 2024 | 15,547 | 0 (0%) | 0% | 104 | 1,616,888 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 106.37 per share. | 18 Jul 2024 | 7,500 | 87,118 (0%) | 0% | 106.4 | 797,765 | Common Stock |
| James P. Gorman | Director, Executive Chairman | Sale of securities on an exchange or to another person at price $ 105.06 per share. | 17 Jul 2024 | 200,000 | 150,000 (0%) | 0% | 105.1 | 21,012,300 | Common Stock |
| Robert H. Herz | Director | Sale of securities on an exchange or to another person at price $ 106.62 per share. | 17 Jul 2024 | 861 | 96,046 (0%) | 0% | 106.6 | 91,800 | Common Stock |
| Robert H. Herz | Director | Sale of securities on an exchange or to another person at price $ 106.63 per share. | 17 Jul 2024 | 139 | 95,907 (0%) | 0% | 106.6 | 14,822 | Common Stock |
| Daniel A. Simkowitz | Co-President | Sale of securities on an exchange or to another person at price $ 106.54 per share. | 17 Jul 2024 | 40,000 | 442,522 (0%) | 0% | 106.5 | 4,261,768 | Common Stock |
| Edward N. Pick | Director, Chief Executive Officer | Other type of transaction at price $ 106.12 per share. | 17 Jul 2024 | 200,000 | 801,407 (0%) | 0% | 106.1 | 21,224,000 | Common Stock |
| Mary L. Schapiro | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 35,676 (0%) | 0% | 0 | Common Stock | |
| Robert H. Herz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 96,907 (0%) | 0% | 0 | Common Stock | |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 97.22 per share. | 01 Jun 2024 | 720 | 81,321 (0%) | 0% | 97.2 | 70,000 | Common Stock |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 80,601 (0%) | 0% | 0 | Common Stock | |
| Erika H. James | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 9,927 (0%) | 0% | 0 | Common Stock | |
| Rayford Wilkins | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 72,546 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 111,237 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 97.28 per share. | 01 Jun 2024 | 1,028 | 112,266 (0%) | 0% | 97.3 | 100,000 | Common Stock |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 97.28 per share. | 01 Jun 2024 | 514 | 17,716 (0%) | 0% | 97.3 | 50,000 | Common Stock |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 17,201 (0%) | 0% | 0 | Common Stock | |
| Judith A. Miscik | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 61,076 (0%) | 0% | 0 | Common Stock | |
| Shelley B. Leibowitz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 46,184 (0%) | 0% | 0 | Common Stock | |
| Dennis M. Nally | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 41,528 (0%) | 0% | 0 | Common Stock | |
| Megan Butler | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2024 | 2,675 | 2,675 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Co-President | Gift of securities by or to the insider at price $ 0.00 per share. | 14 May 2024 | 20,000 | 479,692 (0%) | 0% | 0 | Common Stock | |
| Mandell L. Crawley | Chief Human Resources Officer | Sale of securities on an exchange or to another person at price $ 99.61 per share. | 14 May 2024 | 6,954 | 46,273 (0%) | 0% | 99.6 | 692,663 | Common Stock |
| James P. Gorman | Director, Executive Chairman | Sale of securities on an exchange or to another person at price $ 90.21 per share. | 18 Apr 2024 | 100,000 | 414,870 (0%) | 0% | 90.2 | 9,020,530 | Common Stock |
| Charles Aubrey Smith | Chief Risk Officer | Sale of securities on an exchange or to another person at price $ 90.09 per share. | 17 Apr 2024 | 11,200 | 126,190 (0%) | 0% | 90.1 | 1,009,019 | Common Stock |
| N. Edward Pick | Director, Chief Executive Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.46 per share. | 22 Feb 2024 | 84,078 | 598,603 (0%) | 0% | 85.5 | 7,185,306 | Common Stock |
| Edward N. Pick | Director, Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 22 Feb 2024 | 152,037 | 682,681 (0%) | 0% | 0 | Common Stock | |
| Grossman F. Eric | Chief Legal/Admin Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.46 per share. | 22 Feb 2024 | 22,315 | 257,552 (0%) | 0% | 85.5 | 1,907,040 | Common Stock |
| P. James Gorman | Director, Executive Chairman | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.46 per share. | 22 Feb 2024 | 165,527 | 514,870 (0%) | 0% | 85.5 | 14,145,937 | Common Stock |
| Gorman P. James | Director, Executive Chairman | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 22 Feb 2024 | 299,323 | 680,397 (0%) | 0% | 0 | Common Stock | |
| Simkowitz A. Daniel | Co-President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 22 Feb 2024 | 75,067 | 541,205 (0%) | 0% | 0 | Common Stock | |
| Saperstein Andrew M. | Co-President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.46 per share. | 22 Feb 2024 | 38,323 | 326,426 (0%) | 0% | 85.5 | 3,275,084 | Common Stock |
| Grossman Eric F. | Chief Legal/Admin Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 22 Feb 2024 | 43,710 | 279,867 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 22 Feb 2024 | 75,067 | 364,749 (0%) | 0% | 0 | Common Stock | |
| Daniel Simkowitz A. | Co-President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.46 per share. | 22 Feb 2024 | 41,513 | 499,692 (0%) | 0% | 85.5 | 3,547,701 | Common Stock |
| Gorman James P. | Director, Executive Chairman | Sale of securities on an exchange or to another person at price $ 87.30 per share. | 12 Feb 2024 | 100,000 | 350,000 (0%) | 0% | 87.3 | 8,730,220 | Common Stock |
| Andrew Saperstein M. | Co-President | Sale of securities on an exchange or to another person at price $ 87.19 per share. | 12 Feb 2024 | 26,655 | 286,835 (0%) | 0% | 87.2 | 2,324,092 | Common Stock |
| N. Pick Edward | Director, Chief Executive Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 05 Feb 2024 | 146 | 527,386 (0%) | 0% | 0 | Common Stock | |
| F. Eric Grossman | Chief Legal/Admin Officer | Sale of securities on an exchange or to another person at price $ 88.55 per share. | 30 Jan 2024 | 26,562 | 234,626 (0%) | 0% | 88.5 | 2,352,001 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 87.41 per share. | 30 Jan 2024 | 4,500 | 93,133 (0%) | 0% | 87.4 | 393,346 | Common Stock |
| M. Saperstein Andrew | Co-President | Sale of securities on an exchange or to another person at price $ 87.92 per share. | 30 Jan 2024 | 10,000 | 313,490 (0%) | 0% | 87.9 | 879,170 | Common Stock |
| F. Grossman Eric | Chief Legal/Admin Officer | Sale of securities on an exchange or to another person at price $ 87.81 per share. | 30 Jan 2024 | 26,563 | 261,188 (0%) | 0% | 87.8 | 2,332,595 | Common Stock |
| P. James Gorman | Director, Executive Chairman | Sale of securities on an exchange or to another person at price $ 87.93 per share. | 26 Jan 2024 | 50,000 | 379,701 (0%) | 0% | 87.9 | 4,396,400 | Common Stock |
| P. Gorman James | Director, Executive Chairman | Sale of securities on an exchange or to another person at price $ 87.93 per share. | 25 Jan 2024 | 50,000 | 400,000 (0%) | 0% | 87.9 | 4,396,435 | Common Stock |
| James Gorman P. | Director, Executive Chairman | Gift of securities by or to the insider at price $ 0.00 per share. | 25 Jan 2024 | 105,000 | 479,701 (0%) | 0% | 0 | Common Stock | |
| Grossman F. Eric | Chief Legal/Admin Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 27,233 | 287,624 (0%) | 0% | 86.0 | 2,341,221 | Common Stock |
| M. Saperstein Andrew | Co-President | Sale of securities on an exchange or to another person at price $ 84.13 per share. | 17 Jan 2024 | 10,000 | 323,490 (0%) | 0% | 84.1 | 841,344 | Common Stock |
| Mandell Crawley L. | Chief Human Resources Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 19,127 | 58,788 (0%) | 0% | 0 | Common Stock | |
| Pick N. Edward | Director, Chief Executive Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 76,064 | 599,262 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 17 Jan 2024 | 6,814 | 106,719 (0%) | 0% | 0 | Common Stock | |
| Yeshaya Sharon | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 4,169 | 113,533 (0%) | 0% | 86.0 | 358,409 | Common Stock |
| N. Edward Pick | Director, Chief Executive Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 17 Jan 2024 | 10,560 | 527,531 (0%) | 0% | 0 | Common Stock | |
| A. Daniel Simkowitz | Co-President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 44,691 | 462,848 (0%) | 0% | 86.0 | 3,842,085 | Common Stock |
| Pick Edward N. | Director, Chief Executive Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 61,171 | 538,091 (0%) | 0% | 86.0 | 5,258,871 | Common Stock |
| J. Akram Raja | Deputy Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 10,180 | 104,633 (0%) | 0% | 86.0 | 875,175 | Common Stock |
| Akram Raja J. | Deputy Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 30,366 | 114,813 (0%) | 0% | 0 | Common Stock | |
| Mandell L. Crawley | Chief Human Resources Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 6,084 | 52,704 (0%) | 0% | 86.0 | 523,041 | Common Stock |
| M. Saperstein Andrew | Co-President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 63,609 | 374,454 (0%) | 0% | 0 | Common Stock | |
| Saperstein Andrew M. | Co-President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 40,964 | 333,490 (0%) | 0% | 86.0 | 3,521,675 | Common Stock |
| Simkowitz Daniel A. | Co-President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 80,808 | 507,539 (0%) | 0% | 0 | Common Stock | |
| Grossman Eric F. | Chief Legal/Admin Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 48,781 | 314,857 (0%) | 0% | 0 | Common Stock | |
| Aubrey Smith Charles | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 21,667 | 136,245 (0%) | 0% | 86.0 | 1,862,712 | Common Stock |
| Charles Smith Aubrey | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 25,005 | 157,912 (0%) | 0% | 0 | Common Stock | |
| P. Gorman James | Director, Executive Chairman | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 63,164 | 627,741 (0%) | 0% | 0 | Common Stock | |
| J. Akram Raja | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 83.56 per share. | 17 Jan 2024 | 7,000 | 97,633 (0%) | 0% | 83.6 | 584,928 | Common Stock |
| Sharon Yeshaya | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 17 Jan 2024 | 6,814 | 15,547 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Executive Chairman | Payment of exercise price or tax liability using portion of securities received from the company at price $ 85.97 per share. | 17 Jan 2024 | 43,040 | 584,701 (0%) | 0% | 86.0 | 3,700,149 | Common Stock |
| Yeshaya Sharon | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2024 | 49,968 | 117,702 (0%) | 0% | 0 | Common Stock | |
| Luczo Stephen J. | Director | Grant, award, or other acquisition of securities at price $ 80.26 per share. | 01 Dec 2023 | 623 | 14,262 (0%) | 0% | 80.3 | 50,000 | Common Stock |
| Perry Traquina M. | Director | Grant, award, or other acquisition of securities at price $ 80.28 per share. | 01 Dec 2023 | 872 | 76,512 (0%) | 0% | 80.3 | 70,000 | Common Stock |
| Thomas Glocer Henry | Director | Grant, award, or other acquisition of securities at price $ 80.26 per share. | 01 Dec 2023 | 1,246 | 106,670 (0%) | 0% | 80.3 | 100,000 | Common Stock |
| Andrew M. Saperstein | Co-President/Head of WM | 14 Nov 2023 | 1,238 | 0 (0%) | 0% | 78.3 | 96,951 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 25 Oct 2023 | 111,938 | 423,154 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Co-President/Head of IS | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 25 Oct 2023 | 111,938 | 719,276 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 25 Oct 2023 | 111,938 | 307,558 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 95.19 per share. | 24 Jul 2023 | 125,000 | 1,011,344 (0%) | 0% | 95.2 | 11,898,813 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Sale of securities on an exchange or to another person at price $ 94.33 per share. | 24 Jul 2023 | 100,000 | 604,845 (0%) | 0% | 94.3 | 9,433,050 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Gift of securities by or to the insider at price $ 0.00 per share. | 20 Jul 2023 | 10,000 | 309,040 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Sale of securities on an exchange or to another person at price $ 93.78 per share. | 20 Jul 2023 | 37,608 | 319,040 (0%) | 0% | 93.8 | 3,526,852 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 92.00 per share. | 19 Jul 2023 | 62,500 | 1,198,844 (0%) | 0% | 92 | 5,750,000 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 93.58 per share. | 19 Jul 2023 | 500 | 1,136,344 (0%) | 0% | 93.6 | 46,789 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 92.89 per share. | 19 Jul 2023 | 47,345 | 1,136,844 (0%) | 0% | 92.9 | 4,398,071 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 92.01 per share. | 19 Jul 2023 | 14,655 | 1,184,189 (0%) | 0% | 92.0 | 1,348,426 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 92.00 per share. | 19 Jul 2023 | 13,500 | 82,983 (0%) | 0% | 92 | 1,242,000 | Common Stock |
| Andrew M. Saperstein | Co-President/Head of WM | Sale of securities on an exchange or to another person at price $ 93.09 per share. | 19 Jul 2023 | 39,254 | 193,707 (0%) | 0% | 93.1 | 3,654,280 | Common Stock |
| Charles Aubrey Smith | Chief Risk Officer | Sale of securities on an exchange or to another person at price $ 92.41 per share. | 19 Jul 2023 | 5,600 | 136,512 (0%) | 0% | 92.4 | 517,520 | Common Stock |
| Charles Aubrey Smith | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 91.94 per share. | 19 Jul 2023 | 5,949 | 130,563 (0%) | 0% | 91.9 | 546,951 | Common Stock |
| Mary L. Schapiro | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 31,257 (0%) | 0% | 0 | Common Stock | |
| Mary L. Schapiro | Director | Grant, award, or other acquisition of securities at price $ 82.10 per share. | 01 Jun 2023 | 609 | 31,866 (0%) | 0% | 82.1 | 50,000 | Common Stock |
| Rayford Wilkins | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 68,366 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 102,156 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 82.10 per share. | 01 Jun 2023 | 1,218 | 103,374 (0%) | 0% | 82.1 | 100,000 | Common Stock |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 82.10 per share. | 01 Jun 2023 | 609 | 13,363 (0%) | 0% | 82.1 | 50,000 | Common Stock |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 12,754 (0%) | 0% | 0 | Common Stock | |
| Robert H. Herz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 91,535 (0%) | 0% | 0 | Common Stock | |
| Judith A. Miscik | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 57,106 (0%) | 0% | 0 | Common Stock | |
| Shelley B. Leibowitz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 43,202 (0%) | 0% | 0 | Common Stock | |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 82.16 per share. | 01 Jun 2023 | 852 | 74,108 (0%) | 0% | 82.2 | 70,000 | Common Stock |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 73,255 (0%) | 0% | 0 | Common Stock | |
| Alistair Darling | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 38,051 (0%) | 0% | 0 | Common Stock | |
| Alistair Darling | Director | Payment of exercise price or tax liability using portion of securities received from the company at price $ 82.07 per share. | 01 Jun 2023 | 269 | 37,782 (0%) | 0% | 82.1 | 22,078 | Common Stock |
| Dennis M. Nally | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 38,006 (0%) | 0% | 0 | Common Stock | |
| Erika H. James | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2023 | 3,167 | 7,050 (0%) | 0% | 0 | Common Stock | |
| Raja J. Akram | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 82.95 per share. | 15 May 2023 | 7,320 | 96,483 (0%) | 0% | 83.0 | 607,198 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 03 May 2023 | 1,947 | 1,259,894 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Sale of securities on an exchange or to another person at price $ 87.10 per share. | 03 May 2023 | 4,535 | 98,110 (0%) | 0% | 87.1 | 395,021 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 89.97 per share. | 01 May 2023 | 16,321 | 103,148 (0%) | 0% | 90.0 | 1,468,400 | Common Stock |
| Stephen J. Luczo | Director | Other type of transaction at price $ 90.26 per share. | 21 Apr 2023 | 34,000 | 146,840 (0%) | 0% | 90.3 | 3,068,670 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.94 per share. | 24 Feb 2023 | 185,388 | 1,261,841 (0%) | 0% | 97.9 | 18,156,901 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2023 | 335,240 | 1,447,229 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.94 per share. | 24 Feb 2023 | 20,940 | 339,211 (0%) | 0% | 97.9 | 2,050,864 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2023 | 41,016 | 360,151 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal/Admin Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.94 per share. | 24 Feb 2023 | 26,176 | 261,563 (0%) | 0% | 97.9 | 2,563,677 | Common Stock |
| Eric F. Grossman | Chief Legal/Admin Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2023 | 51,272 | 287,739 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2023 | 84,138 | 401,134 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.94 per share. | 24 Feb 2023 | 46,530 | 354,604 (0%) | 0% | 97.9 | 4,557,148 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.94 per share. | 24 Feb 2023 | 76,338 | 702,504 (0%) | 0% | 97.9 | 7,476,544 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2023 | 138,040 | 778,842 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.94 per share. | 24 Feb 2023 | 40,940 | 231,165 (0%) | 0% | 97.9 | 4,009,664 | Common Stock |
| Andrew M. Saperstein | Co-President/Head of WM | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2023 | 80,194 | 272,105 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Sale of securities on an exchange or to another person at price $ 98.45 per share. | 13 Feb 2023 | 46,226 | 0 (0%) | 0% | 98.5 | 4,550,950 | Common Stock |
| Andrew M. Saperstein | Co-President/Head of WM | Sale of securities on an exchange or to another person at price $ 98.23 per share. | 13 Feb 2023 | 24,556 | 190,439 (0%) | 0% | 98.2 | 2,412,099 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Sale of securities on an exchange or to another person at price $ 96.54 per share. | 30 Jan 2023 | 8,077 | 315,320 (0%) | 0% | 96.5 | 779,726 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Sale of securities on an exchange or to another person at price $ 96.20 per share. | 30 Jan 2023 | 15,133 | 323,397 (0%) | 0% | 96.2 | 1,455,861 | Common Stock |
| Alistair Darling | Director | Sale of securities on an exchange or to another person at price $ 94.70 per share. | 25 Jan 2023 | 2,000 | 34,464 (0%) | 0% | 94.7 | 189,410 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 46,397 | 1,422,365 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 60,018 | 1,362,347 (0%) | 0% | 97.1 | 5,826,547 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 96.82 per share. | 18 Jan 2023 | 215,329 | 1,147,018 (0%) | 0% | 96.8 | 20,849,144 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 97.62 per share. | 18 Jan 2023 | 34,671 | 1,112,347 (0%) | 0% | 97.6 | 3,384,493 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 18 Jan 2023 | 1,547 | 1,110,800 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 11,651 | 318,346 (0%) | 0% | 97.1 | 1,131,079 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 26,936 | 329,997 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal/Admin Officer | Sale of securities on an exchange or to another person at price $ 97.11 per share. | 18 Jan 2023 | 120,000 | 235,234 (0%) | 0% | 97.1 | 11,653,788 | Common Stock |
| Eric F. Grossman | Chief Legal/Admin Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 40,340 | 370,955 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal/Admin Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 15,721 | 355,234 (0%) | 0% | 97.1 | 1,526,195 | Common Stock |
| Jonathan M. Pruzan | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 89,058 | 427,301 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Operating Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 20,316 | 406,985 (0%) | 0% | 97.1 | 1,972,277 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Sale of securities on an exchange or to another person at price $ 96.95 per share. | 18 Jan 2023 | 39,238 | 354,202 (0%) | 0% | 96.9 | 3,804,081 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 22,837 | 393,440 (0%) | 0% | 97.1 | 2,217,016 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 61,992 | 416,277 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Gift of securities by or to the insider at price $ 0.00 per share. | 18 Jan 2023 | 10,000 | 338,530 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Sale of securities on an exchange or to another person at price $ 97.72 per share. | 18 Jan 2023 | 5,672 | 348,530 (0%) | 0% | 97.7 | 554,272 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 23,044 | 133,598 (0%) | 0% | 0 | Common Stock | |
| Raja J. Akram | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 97.00 per share. | 18 Jan 2023 | 5,100 | 118,558 (0%) | 0% | 97 | 494,700 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 9,940 | 123,658 (0%) | 0% | 97.1 | 964,975 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Gift of securities by or to the insider at price $ 0.00 per share. | 18 Jan 2023 | 1,082 | 638,882 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Co-President/Head of IS | Sale of securities on an exchange or to another person at price $ 97.62 per share. | 18 Jan 2023 | 25,246 | 639,964 (0%) | 0% | 97.6 | 2,464,406 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Sale of securities on an exchange or to another person at price $ 96.84 per share. | 18 Jan 2023 | 109,754 | 665,210 (0%) | 0% | 96.8 | 10,628,160 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 30,024 | 774,964 (0%) | 0% | 97.1 | 2,914,730 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 61,477 | 804,988 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 52,197 | 235,296 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 20,301 | 214,995 (0%) | 0% | 97.1 | 1,970,821 | Common Stock |
| Mandell L. Crawley | Chief Human Resources Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 12,501 | 50,000 (0%) | 0% | 0 | Common Stock | |
| Mandell L. Crawley | Chief Human Resources Officer | Sale of securities on an exchange or to another person at price $ 93.75 per share. | 18 Jan 2023 | 3,740 | 42,170 (0%) | 0% | 93.8 | 350,625 | Common Stock |
| Mandell L. Crawley | Chief Human Resources Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 4,090 | 45,910 (0%) | 0% | 97.1 | 397,057 | Common Stock |
| Sharon Yeshaya | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 18 Jan 2023 | 3,938 | 65,247 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 18 Jan 2023 | 3,938 | 8,733 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2023 | 28,998 | 71,595 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 97.08 per share. | 18 Jan 2023 | 2,410 | 69,185 (0%) | 0% | 97.1 | 233,963 | Common Stock |
| Mary L. Schapiro | Director | Grant, award, or other acquisition of securities at price $ 92.95 per share. | 01 Dec 2022 | 511 | 27,668 (0%) | 0% | 93.0 | 47,500 | Common Stock |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 92.92 per share. | 01 Dec 2022 | 861 | 101,925 (0%) | 0% | 92.9 | 80,000 | Common Stock |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 92.91 per share. | 01 Dec 2022 | 592 | 10,921 (0%) | 0% | 92.9 | 55,000 | Common Stock |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 92.85 per share. | 01 Dec 2022 | 727 | 68,905 (0%) | 0% | 92.8 | 67,500 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 18 Oct 2022 | 635 | 1,374,075 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Other type of transaction at price $ 0.00 per share. | 10 Aug 2022 | 30,509 | 46,226 (0%) | 0% | - | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Sale of securities on an exchange or to another person at price $ 0.00 per share. | 20 Jul 2022 | 100 | 0 | - | - | Depositary Shares | |
| Edward N. Pick | Co-President/Head of IS | Gift of securities by or to the insider at price $ 0.00 per share. | 18 Jul 2022 | 126 | 739,380 (0%) | 0% | 0 | Common Stock | |
| Mary L. Schapiro | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 26,754 (0%) | 0% | 0 | Common Stock | |
| Rayford Wilkins | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 63,984 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 84.93 per share. | 01 Jun 2022 | 942 | 99,515 (0%) | 0% | 84.9 | 80,000 | Common Stock |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 98,573 (0%) | 0% | 0 | Common Stock | |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 9,508 (0%) | 0% | 0 | Common Stock | |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 85.01 per share. | 01 Jun 2022 | 647 | 10,156 (0%) | 0% | 85.0 | 55,000 | Common Stock |
| Robert H. Herz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 86,196 (0%) | 0% | 0 | Common Stock | |
| Judith A. Miscik | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 52,900 (0%) | 0% | 0 | Common Stock | |
| Shelley B. Leibowitz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 39,830 (0%) | 0% | 0 | Common Stock | |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 84.91 per share. | 01 Jun 2022 | 795 | 67,035 (0%) | 0% | 84.9 | 67,500 | Common Stock |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 66,239 (0%) | 0% | 0 | Common Stock | |
| Alistair Darling | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 36,115 (0%) | 0% | 0 | Common Stock | |
| Alistair Darling | Director | Payment of exercise price or tax liability using portion of securities received from the company at price $ 84.90 per share. | 01 Jun 2022 | 60 | 36,055 (0%) | 0% | 84.9 | 5,094 | Common Stock |
| Dennis M. Nally | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 34,179 (0%) | 0% | 0 | Common Stock | |
| Erika H. James | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2022 | 2,944 | 3,757 (0%) | 0% | 0 | Common Stock | |
| Raja J. Akram | Deputy Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 80.64 per share. | 13 May 2022 | 137 | 108,635 (0%) | 0% | 80.6 | 11,047 | Common Stock |
| Stephen J. Luczo | Director | Purchase of securities on an exchange or from another person at price $ 79.30 per share. | 12 May 2022 | 25,000 | 179,449 (0%) | 0% | 79.3 | 1,982,425 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 80.59 per share. | 01 May 2022 | 15,785 | 107,701 (0%) | 0% | 80.6 | 1,272,113 | Common Stock |
| Sharon Yeshaya | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 27 Apr 2022 | 4,795 | 41,524 (0%) | 0% | 0 | Common Stock | |
| Elizabeth Pauline Lucy Corley | Director | Sale or transfer of securities back to the company at price $ 0.00 per share. | 21 Apr 2022 | 229 | 28,914 (0%) | 0% | 0 | Common Stock | |
| Elizabeth Pauline Lucy Corley | Director | Payment of exercise price or tax liability using portion of securities received from the company at price $ 90.39 per share. | 21 Apr 2022 | 2,315 | 26,599 (0%) | 0% | 90.4 | 209,254 | Common Stock |
| Elizabeth Pauline Lucy Corley | Director | Grant, award, or other acquisition of securities at price $ 90.58 per share. | 21 Apr 2022 | 437 | 29,144 (0%) | 0% | 90.6 | 39,583 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Gift of securities by or to the insider at price $ 0.00 per share. | 20 Apr 2022 | 7,805 | 737,721 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Co-President/Head of IS | Gift of securities by or to the insider at price $ 0.00 per share. | 20 Apr 2022 | 300 | 737,421 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2022 | 476,386 | 1,634,403 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 93.55 per share. | 24 Feb 2022 | 263,442 | 1,370,961 (0%) | 0% | 93.5 | 24,644,999 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 24 Feb 2022 | 2,000 | 1,156,553 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2022 | 58,898 | 330,552 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 93.55 per share. | 24 Feb 2022 | 30,068 | 300,484 (0%) | 0% | 93.5 | 2,812,861 | Common Stock |
| Jonathan M. Pruzan | Chief Operating Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 93.55 per share. | 24 Feb 2022 | 55,564 | 333,692 (0%) | 0% | 93.5 | 5,198,012 | Common Stock |
| Jonathan M. Pruzan | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2022 | 100,474 | 389,256 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2022 | 100,474 | 404,784 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 93.55 per share. | 24 Feb 2022 | 55,564 | 349,220 (0%) | 0% | 93.5 | 5,198,012 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2022 | 220,870 | 867,668 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Co-President/Head of IS | Payment of exercise price or tax liability using portion of securities received from the company at price $ 93.55 per share. | 24 Feb 2022 | 122,142 | 745,526 (0%) | 0% | 93.5 | 11,426,384 | Common Stock |
| Andrew M. Saperstein | Co-President/Head of WM | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2022 | 90,080 | 270,691 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Payment of exercise price or tax liability using portion of securities received from the company at price $ 93.55 per share. | 24 Feb 2022 | 45,986 | 224,705 (0%) | 0% | 93.5 | 4,301,990 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 93.55 per share. | 24 Feb 2022 | 38,028 | 326,840 (0%) | 0% | 93.5 | 3,557,519 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 24 Feb 2022 | 74,488 | 364,868 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Other type of transaction at price $ 108.73 per share. | 09 Feb 2022 | 24,575 | 1,161,273 (0%) | 0% | 108.7 | 2,672,040 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 09 Feb 2022 | 2,720 | 1,158,553 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Sale of securities on an exchange or to another person at price $ 105.70 per share. | 08 Feb 2022 | 17,162 | 179,413 (0%) | 0% | 105.7 | 1,813,998 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Sale of securities on an exchange or to another person at price $ 105.00 per share. | 07 Feb 2022 | 24,500 | 270,986 (0%) | 0% | 105 | 2,572,500 | Common Stock |
| Erika H. James | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Feb 2022 | 806 | 806 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Sale of securities on an exchange or to another person at price $ 102.56 per share. | 31 Jan 2022 | 18,414 | 302,996 (0%) | 0% | 102.6 | 1,888,525 | Common Stock |
| Jonathan M. Pruzan | Chief Operating Officer | Sale of securities on an exchange or to another person at price $ 101.05 per share. | 26 Jan 2022 | 18,414 | 287,601 (0%) | 0% | 101.0 | 1,860,705 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 50,189 | 1,211,836 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 75,138 | 1,136,698 (0%) | 0% | 95.7 | 7,192,961 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 28,091 | 306,785 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 11,299 | 295,486 (0%) | 0% | 95.7 | 1,081,653 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Sale of securities on an exchange or to another person at price $ 101.63 per share. | 20 Jan 2022 | 33,209 | 289,475 (0%) | 0% | 101.6 | 3,375,130 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 14,348 | 322,684 (0%) | 0% | 95.7 | 1,373,534 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 44,072 | 337,032 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Operating Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 17,394 | 306,015 (0%) | 0% | 95.7 | 1,665,128 | Common Stock |
| Jonathan M. Pruzan | Chief Operating Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 60,052 | 323,409 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 68,043 | 338,804 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 17,394 | 321,410 (0%) | 0% | 95.7 | 1,665,128 | Common Stock |
| Raja J. Akram | Deputy Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 23,946 | 122,658 (0%) | 0% | 0 | Common Stock | |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 18,507 | 253,945 (0%) | 0% | 95.7 | 1,771,675 | Common Stock |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 40,076 | 272,452 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Co-President/Head of IS | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 16,565 | 645,185 (0%) | 0% | 95.7 | 1,585,767 | Common Stock |
| Edward N. Pick | Co-President/Head of IS | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 70,040 | 661,750 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 52,062 | 227,308 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Co-President/Head of WM | Sale of securities on an exchange or to another person at price $ 96.80 per share. | 20 Jan 2022 | 15,471 | 196,575 (0%) | 0% | 96.8 | 1,497,593 | Common Stock |
| Andrew M. Saperstein | Co-President/Head of WM | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 15,262 | 212,046 (0%) | 0% | 95.7 | 1,461,031 | Common Stock |
| Mandell L. Crawley | Chief Human Resources Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 10,112 | 47,826 (0%) | 0% | 0 | Common Stock | |
| Mandell L. Crawley | Chief Human Resources Officer | Sale of securities on an exchange or to another person at price $ 97.08 per share. | 20 Jan 2022 | 700 | 43,083 (0%) | 0% | 97.1 | 67,956 | Common Stock |
| Mandell L. Crawley | Chief Human Resources Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 4,043 | 43,783 (0%) | 0% | 95.7 | 387,036 | Common Stock |
| Mandell L. Crawley | Chief Human Resources Officer | Sale of securities on an exchange or to another person at price $ 97.93 per share. | 20 Jan 2022 | 1,400 | 41,683 (0%) | 0% | 97.9 | 137,101 | Common Stock |
| Mandell L. Crawley | Chief Human Resources Officer | Sale of securities on an exchange or to another person at price $ 98.93 per share. | 20 Jan 2022 | 5,375 | 36,308 (0%) | 0% | 98.9 | 531,755 | Common Stock |
| Sharon Yeshaya | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 95.73 per share. | 20 Jan 2022 | 2,760 | 46,041 (0%) | 0% | 95.7 | 264,215 | Common Stock |
| Sharon Yeshaya | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 20 Jan 2022 | 24,757 | 48,801 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 96.97 per share. | 01 Dec 2021 | 825 | 94,282 (0%) | 0% | 97.0 | 80,000 | Common Stock |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 97.00 per share. | 01 Dec 2021 | 567 | 7,833 (0%) | 0% | 97.0 | 55,000 | Common Stock |
| Elizabeth P L Corley | Director | Grant, award, or other acquisition of securities at price $ 96.94 per share. | 01 Dec 2021 | 490 | 28,513 (0%) | 0% | 96.9 | 47,500 | Common Stock |
| Perry M. Traquina | Director | Gift of securities by or to the insider at price $ 0.00 per share. | 01 Dec 2021 | 400 | 0 | - | 0 | Depositary Shares | |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 96.98 per share. | 01 Dec 2021 | 696 | 62,329 (0%) | 0% | 97.0 | 67,500 | Common Stock |
| Alistair Darling | Director | Sale of securities on an exchange or to another person at price $ 99.46 per share. | 09 Nov 2021 | 1,000 | 32,674 (0%) | 0% | 99.5 | 99,460 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 19 Oct 2021 | 49,564 | 1,159,493 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 19 Oct 2021 | 985 | 1,209,057 (0%) | 0% | 0 | Common Stock | |
| Sharon Yeshaya | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 92.32 per share. | 21 Jul 2021 | 1,171 | 23,723 (0%) | 0% | 92.3 | 108,107 | Common Stock |
| Sharon Yeshaya | Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 95.64 per share. | 21 Jul 2021 | 2,500 | 24,894 (0%) | 0% | 95.6 | 239,104 | Common Stock |
| Andrew M. Saperstein | Co-President/Head of WM | Sale of securities on an exchange or to another person at price $ 92.97 per share. | 16 Jul 2021 | 11,465 | 173,074 (0%) | 0% | 93.0 | 1,065,901 | Common Stock |
| Mary L. Schapiro | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 23,218 (0%) | 0% | 0 | Common Stock | |
| Rayford Wilkins | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 60,075 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 92.59 per share. | 01 Jun 2021 | 864 | 92,287 (0%) | 0% | 92.6 | 80,000 | Common Stock |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 91,422 (0%) | 0% | 0 | Common Stock | |
| Robert H. Herz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 81,533 (0%) | 0% | 0 | Common Stock | |
| Judith A. Miscik | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 49,139 (0%) | 0% | 0 | Common Stock | |
| Elizabeth P L Corley | Director | Grant, award, or other acquisition of securities at price $ 92.59 per share. | 01 Jun 2021 | 513 | 27,642 (0%) | 0% | 92.6 | 47,500 | Common Stock |
| Elizabeth P L Corley | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 27,128 (0%) | 0% | 0 | Common Stock | |
| Shelley B. Leibowitz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 36,741 (0%) | 0% | 0 | Common Stock | |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 60,065 (0%) | 0% | 0 | Common Stock | |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 92.59 per share. | 01 Jun 2021 | 729 | 60,795 (0%) | 0% | 92.6 | 67,500 | Common Stock |
| Alistair Darling | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 33,527 (0%) | 0% | 0 | Common Stock | |
| Dennis M. Nally | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2021 | 2,702 | 30,731 (0%) | 0% | 0 | Common Stock | |
| Hutham S. Olayan | Director | Grant, award, or other acquisition of securities at price $ 86.36 per share. | 20 May 2021 | 550 | 194,387 (0%) | 0% | 86.4 | 47,500 | Common Stock |
| Jonathan M. Pruzan | Chief Financial Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 14 May 2021 | 20,000 | 260,717 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Sale of securities on an exchange or to another person at price $ 80.06 per share. | 19 Apr 2021 | 73,162 | 267,914 (0%) | 0% | 80.1 | 5,856,984 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 78.43 per share. | 26 Feb 2021 | 179,076 | 1,206,734 (0%) | 0% | 78.4 | 14,044,931 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2021 | 336,486 | 1,385,810 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2021 | 39,586 | 296,371 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 78.43 per share. | 26 Feb 2021 | 19,384 | 276,987 (0%) | 0% | 78.4 | 1,520,287 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 78.43 per share. | 26 Feb 2021 | 24,554 | 290,810 (0%) | 0% | 78.4 | 1,925,770 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2021 | 50,142 | 315,364 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2021 | 56,740 | 310,913 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 78.43 per share. | 26 Feb 2021 | 30,196 | 280,717 (0%) | 0% | 78.4 | 2,368,272 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 78.43 per share. | 26 Feb 2021 | 34,410 | 341,076 (0%) | 0% | 78.4 | 2,698,776 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2021 | 64,658 | 375,486 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Head of Instl Securities | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2021 | 145,150 | 665,399 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Head of Instl Securities | Payment of exercise price or tax liability using portion of securities received from the company at price $ 78.43 per share. | 26 Feb 2021 | 77,248 | 588,151 (0%) | 0% | 78.4 | 6,058,561 | Common Stock |
| Andrew M. Saperstein | Head of Wealth Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 78.43 per share. | 26 Feb 2021 | 25,846 | 183,907 (0%) | 0% | 78.4 | 2,027,102 | Common Stock |
| Andrew M. Saperstein | Head of Wealth Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2021 | 52,782 | 209,753 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Sale of securities on an exchange or to another person at price $ 76.25 per share. | 16 Feb 2021 | 22,746 | 256,785 (0%) | 0% | 76.3 | 1,734,383 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 11 Feb 2021 | 600 | 1,021,122 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 11 Feb 2021 | 1,050 | 1,020,072 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Other type of transaction at price $ 73.72 per share. | 11 Feb 2021 | 27,825 | 1,047,897 (0%) | 0% | 73.7 | 2,051,259 | Common Stock |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Sale of securities on an exchange or to another person at price $ 74.36 per share. | 09 Feb 2021 | 15,169 | 230,896 (0%) | 0% | 74.4 | 1,128,012 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 105,188 | 1,248,999 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 52,277 | 1,196,722 (0%) | 0% | 74.8 | 3,912,411 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 73.11 per share. | 21 Jan 2021 | 171,975 | 1,024,747 (0%) | 0% | 73.1 | 12,573,522 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 73.59 per share. | 21 Jan 2021 | 3,025 | 1,021,722 (0%) | 0% | 73.6 | 222,600 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 43,578 | 288,206 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 9,120 | 279,086 (0%) | 0% | 74.8 | 682,541 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Sale of securities on an exchange or to another person at price $ 74.74 per share. | 21 Jan 2021 | 29,000 | 264,661 (0%) | 0% | 74.7 | 2,167,567 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 12,676 | 293,661 (0%) | 0% | 74.8 | 948,672 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 54,263 | 306,337 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 72,963 | 287,834 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 74.53 per share. | 21 Jan 2021 | 18,880 | 253,484 (0%) | 0% | 74.5 | 1,407,060 | Common Stock |
| Jonathan M. Pruzan | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 15,470 | 272,364 (0%) | 0% | 74.8 | 1,157,775 | Common Stock |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 31,556 | 174,602 (0%) | 0% | 0 | Common Stock | |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Sale of securities on an exchange or to another person at price $ 74.57 per share. | 21 Jan 2021 | 18,500 | 150,094 (0%) | 0% | 74.6 | 1,379,545 | Common Stock |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 6,008 | 168,594 (0%) | 0% | 74.8 | 449,639 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 16,440 | 310,085 (0%) | 0% | 74.8 | 1,230,370 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 79,976 | 326,525 (0%) | 0% | 0 | Common Stock | |
| Raja J. Akram | Deputy Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 41,073 | 96,526 (0%) | 0% | 0 | Common Stock | |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 49,588 | 255,768 (0%) | 0% | 0 | Common Stock | |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 9,703 | 246,065 (0%) | 0% | 74.8 | 726,173 | Common Stock |
| Edward N. Pick | Head of Instl Securities | Sale of securities on an exchange or to another person at price $ 75.72 per share. | 21 Jan 2021 | 1,300 | 522,897 (0%) | 0% | 75.7 | 98,432 | Common Stock |
| Edward N. Pick | Head of Instl Securities | Gift of securities by or to the insider at price $ 0.00 per share. | 21 Jan 2021 | 3,578 | 519,319 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Head of Instl Securities | Sale of securities on an exchange or to another person at price $ 75.09 per share. | 21 Jan 2021 | 98,700 | 524,197 (0%) | 0% | 75.1 | 7,411,768 | Common Stock |
| Edward N. Pick | Head of Instl Securities | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 23,716 | 622,897 (0%) | 0% | 74.8 | 1,774,905 | Common Stock |
| Edward N. Pick | Head of Instl Securities | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 108,360 | 646,613 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Head of Wealth Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 74.84 per share. | 21 Jan 2021 | 13,565 | 186,288 (0%) | 0% | 74.8 | 1,015,205 | Common Stock |
| Andrew M. Saperstein | Head of Wealth Management | Sale of securities on an exchange or to another person at price $ 72.55 per share. | 21 Jan 2021 | 19,832 | 156,238 (0%) | 0% | 72.6 | 1,438,812 | Common Stock |
| Andrew M. Saperstein | Head of Wealth Management | Sale of securities on an exchange or to another person at price $ 74.01 per share. | 21 Jan 2021 | 10,218 | 176,070 (0%) | 0% | 74.0 | 756,250 | Common Stock |
| Andrew M. Saperstein | Head of Wealth Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 21 Jan 2021 | 79,976 | 199,853 (0%) | 0% | 0 | Common Stock | |
| Hutham S. Olayan | Director | Grant, award, or other acquisition of securities at price $ 63.25 per share. | 01 Dec 2020 | 751 | 192,228 (0%) | 0% | 63.2 | 47,500 | Common Stock |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 63.29 per share. | 01 Dec 2020 | 1,264 | 87,990 (0%) | 0% | 63.3 | 80,000 | Common Stock |
| Elizabeth P L Corley | Director | Grant, award, or other acquisition of securities at price $ 63.25 per share. | 01 Dec 2020 | 751 | 24,214 (0%) | 0% | 63.2 | 47,500 | Common Stock |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 63.26 per share. | 01 Dec 2020 | 1,067 | 56,865 (0%) | 0% | 63.3 | 67,500 | Common Stock |
| Hutham S. Olayan | Director | Purchase of securities on an exchange or from another person at price $ 55.40 per share. | 12 Nov 2020 | 25,000 | 28,129 (0%) | 0% | 55.4 | 1,385,000 | Common Stock |
| Shelley B. Leibowitz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Nov 2020 | 3,058 | 34,012 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 23 Oct 2020 | 3,865 | 1,141,932 (0%) | 0% | 0 | Common Stock | |
| Hutham S. Olayan | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 02 Oct 2020 | 3,129 | 3,129 (0%) | 0% | - | Common Stock | |
| Shelley B. Leibowitz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 02 Oct 2020 | 30,954 | 30,954 (0%) | 0% | - | Common Stock | |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 02 Oct 2020 | 400 | 400 | - | - | Depositary Shares | |
| Andrew M. Saperstein | Head of Wealth Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 02 Oct 2020 | 100 | 100 | - | - | Depositary Shares | |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Payment of exercise price or tax liability using portion of securities received from the company at price $ 52.22 per share. | 21 Aug 2020 | 18 | 206,050 (0%) | 0% | 52.2 | 940 | Common Stock |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Payment of exercise price or tax liability using portion of securities received from the company at price $ 48.88 per share. | 01 Aug 2020 | 3,680 | 206,068 (0%) | 0% | 48.9 | 179,878 | Common Stock |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Sale of securities on an exchange or to another person at price $ 52.18 per share. | 21 Jul 2020 | 18,355 | 209,542 (0%) | 0% | 52.2 | 957,843 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Sale of securities on an exchange or to another person at price $ 52.00 per share. | 20 Jul 2020 | 19,000 | 243,666 (0%) | 0% | 52 | 988,000 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 52.39 per share. | 17 Jul 2020 | 149,900 | 1,143,873 (0%) | 0% | 52.4 | 7,852,766 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Sale of securities on an exchange or to another person at price $ 53.01 per share. | 17 Jul 2020 | 100 | 1,143,773 (0%) | 0% | 53.0 | 5,301 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Sale of securities on an exchange or to another person at price $ 52.84 per share. | 17 Jul 2020 | 54,420 | 250,835 (0%) | 0% | 52.8 | 2,875,531 | Common Stock |
| Andrew M. Saperstein | Head of Wealth Management | Sale of securities on an exchange or to another person at price $ 52.56 per share. | 17 Jul 2020 | 28,846 | 118,477 (0%) | 0% | 52.6 | 1,516,195 | Common Stock |
| Hutham S. Olayan | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 187,961 (0%) | 0% | 0 | Common Stock | |
| Hutham S. Olayan | Director | Grant, award, or other acquisition of securities at price $ 44.76 per share. | 01 Jun 2020 | 1,173 | 189,135 (0%) | 0% | 44.8 | 52,500 | Common Stock |
| Mary L. Schapiro | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 19,083 (0%) | 0% | 0 | Common Stock | |
| Mary L. Schapiro | Director | Grant, award, or other acquisition of securities at price $ 44.77 per share. | 01 Jun 2020 | 1,061 | 20,144 (0%) | 0% | 44.8 | 47,500 | Common Stock |
| Rayford Wilkins | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 56,673 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 83,888 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | Director | Grant, award, or other acquisition of securities at price $ 44.74 per share. | 01 Jun 2020 | 1,788 | 85,676 (0%) | 0% | 44.7 | 80,000 | Common Stock |
| Stephen J. Luczo | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 8,738 (0%) | 0% | 0 | Common Stock | |
| Robert H. Herz | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 77,645 (0%) | 0% | 0 | Common Stock | |
| Judith A. Miscik | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 45,842 (0%) | 0% | 0 | Common Stock | |
| Elizabeth P L Corley | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 22,102 (0%) | 0% | 0 | Common Stock | |
| Elizabeth P L Corley | Director | Grant, award, or other acquisition of securities at price $ 44.77 per share. | 01 Jun 2020 | 1,061 | 23,163 (0%) | 0% | 44.8 | 47,500 | Common Stock |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 44.76 per share. | 01 Jun 2020 | 1,508 | 55,085 (0%) | 0% | 44.8 | 67,500 | Common Stock |
| Perry M. Traquina | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 53,577 (0%) | 0% | 0 | Common Stock | |
| Alistair Darling | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 30,356 (0%) | 0% | 0 | Common Stock | |
| Alistair Darling | Director | Payment of exercise price or tax liability using portion of securities received from the company at price $ 44.74 per share. | 01 Jun 2020 | 315 | 24,768 (0%) | 0% | 44.7 | 14,094 | Common Stock |
| Dennis M. Nally | Director | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2020 | 5,587 | 27,662 (0%) | 0% | 0 | Common Stock | |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Sale of securities on an exchange or to another person at price $ 40.57 per share. | 28 Apr 2020 | 18,174 | 141,862 (0%) | 0% | 40.6 | 737,319 | Common Stock |
| Stephen J. Luczo | Director | Purchase of securities on an exchange or from another person at price $ 38.68 per share. | 17 Apr 2020 | 19,000 | 190,000 (0%) | 0% | 38.7 | 734,871 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 169,160 | 1,570,255 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 45.41 per share. | 28 Feb 2020 | 273,670 | 1,296,585 (0%) | 0% | 45.4 | 12,427,355 | Common Stock |
| Stephen J. Luczo | Director | Purchase of securities on an exchange or from another person at price $ 44.97 per share. | 28 Feb 2020 | 50,000 | 171,000 (0%) | 0% | 45.0 | 2,248,735 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 34,906 | 279,141 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 45.41 per share. | 28 Feb 2020 | 17,165 | 261,976 (0%) | 0% | 45.4 | 779,463 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 44,303 | 326,152 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 45.41 per share. | 28 Feb 2020 | 21,785 | 304,367 (0%) | 0% | 45.4 | 989,257 | Common Stock |
| Jonathan M. Pruzan | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 45.41 per share. | 28 Feb 2020 | 24,440 | 212,493 (0%) | 0% | 45.4 | 1,109,820 | Common Stock |
| Jonathan M. Pruzan | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 45,646 | 236,933 (0%) | 0% | 0 | Common Stock | |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 26,850 | 173,239 (0%) | 0% | 0 | Common Stock | |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 45.41 per share. | 28 Feb 2020 | 13,203 | 160,036 (0%) | 0% | 45.4 | 599,548 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 45.41 per share. | 28 Feb 2020 | 27,150 | 244,031 (0%) | 0% | 45.4 | 1,232,882 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 51,016 | 271,181 (0%) | 0% | 0 | Common Stock | |
| Edward N. Pick | Head of Instl Securities | Payment of exercise price or tax liability using portion of securities received from the company at price $ 45.41 per share. | 28 Feb 2020 | 63,947 | 535,173 (0%) | 0% | 45.4 | 2,903,833 | Common Stock |
| Edward N. Pick | Head of Instl Securities | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 120,157 | 599,120 (0%) | 0% | 0 | Common Stock | |
| Andrew M. Saperstein | Head of Wealth Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 45.41 per share. | 28 Feb 2020 | 18,407 | 146,320 (0%) | 0% | 45.4 | 835,862 | Common Stock |
| Andrew M. Saperstein | Head of Wealth Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 28 Feb 2020 | 37,590 | 164,727 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 24 Feb 2020 | 2,300 | 1,297,084 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 24 Feb 2020 | 3,311 | 1,293,773 (0%) | 0% | 0 | Common Stock | |
| Stephen J. Luczo | Director | Purchase of securities on an exchange or from another person at price $ 53.00 per share. | 21 Feb 2020 | 50,000 | 121,000 (0%) | 0% | 53.0 | 2,649,955 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2020 | 111,747 | 1,460,665 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 56.44 per share. | 17 Jan 2020 | 61,436 | 1,399,229 (0%) | 0% | 56.4 | 3,467,448 | Common Stock |
| Paul C. Wirth | Deputy Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 56.44 per share. | 17 Jan 2020 | 19,789 | 153,977 (0%) | 0% | 56.4 | 1,116,891 | Common Stock |
| Paul C. Wirth | Deputy Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2020 | 26,950 | 173,766 (0%) | 0% | 0 | Common Stock | |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 56.44 per share. | 17 Jan 2020 | 9,689 | 243,776 (0%) | 0% | 56.4 | 546,847 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2020 | 24,934 | 253,465 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 56.44 per share. | 17 Jan 2020 | 13,799 | 281,257 (0%) | 0% | 56.4 | 778,816 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2020 | 32,625 | 295,056 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2020 | 37,994 | 206,565 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 56.44 per share. | 17 Jan 2020 | 15,940 | 190,625 (0%) | 0% | 56.4 | 899,654 | Common Stock |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2020 | 17,835 | 152,225 (0%) | 0% | 0 | Common Stock | |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 56.44 per share. | 17 Jan 2020 | 6,165 | 146,060 (0%) | 0% | 56.4 | 347,953 | Common Stock |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2020 | 42,376 | 237,968 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 56.44 per share. | 17 Jan 2020 | 18,504 | 219,464 (0%) | 0% | 56.4 | 1,044,366 | Common Stock |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Payment of exercise price or tax liability using portion of securities received from the company at price $ 56.44 per share. | 17 Jan 2020 | 2,407 | 227,420 (0%) | 0% | 56.4 | 135,851 | Common Stock |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 17 Jan 2020 | 46,380 | 229,827 (0%) | 0% | 0 | Common Stock | |
| Hutham S. Olayan | None | Grant, award, or other acquisition of securities at price $ 49.58 per share. | 01 Dec 2019 | 1,059 | 179,680 (0%) | 0% | 49.6 | 52,500 | Common Stock |
| Mary L. Schapiro | None | Grant, award, or other acquisition of securities at price $ 49.58 per share. | 01 Dec 2019 | 958 | 13,288 (0%) | 0% | 49.6 | 47,500 | Common Stock |
| Thomas Henry Glocer | None | Grant, award, or other acquisition of securities at price $ 49.60 per share. | 01 Dec 2019 | 1,613 | 77,161 (0%) | 0% | 49.6 | 80,000 | Common Stock |
| Elizabeth P L Corley | None | Grant, award, or other acquisition of securities at price $ 49.58 per share. | 01 Dec 2019 | 958 | 16,259 (0%) | 0% | 49.6 | 47,500 | Common Stock |
| Perry M. Traquina | None | Grant, award, or other acquisition of securities at price $ 49.60 per share. | 01 Dec 2019 | 1,361 | 47,248 (0%) | 0% | 49.6 | 67,500 | Common Stock |
| Paul C. Wirth | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 49.62 per share. | 27 Nov 2019 | 25,000 | 146,815 (0%) | 0% | 49.6 | 1,240,500 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Sale of securities on an exchange or to another person at price $ 49.78 per share. | 27 Nov 2019 | 26,000 | 228,530 (0%) | 0% | 49.8 | 1,294,249 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Gift of securities by or to the insider at price $ 0.00 per share. | 27 Nov 2019 | 2,000 | 254,530 (0%) | 0% | 0 | Common Stock | |
| Robert P. Rooney | Head of Tech/Ops/Resilience | Sale of securities on an exchange or to another person at price $ 49.13 per share. | 21 Nov 2019 | 51,105 | 183,447 (0%) | 0% | 49.1 | 2,511,003 | Common Stock |
| Stephen J. Luczo | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Nov 2019 | 3,102 | 3,102 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 21 Oct 2019 | 4,520 | 1,348,919 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 07 Aug 2019 | 1,265 | 1,351,227 (0%) | 0% | 0 | Common Stock | |
| Hutham S. Olayan | None | Grant, award, or other acquisition of securities at price $ 40.92 per share. | 01 Jun 2019 | 1,283 | 175,909 (0%) | 0% | 40.9 | 52,500 | Common Stock |
| Hutham S. Olayan | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 174,626 (0%) | 0% | 0 | Common Stock | |
| Mary L. Schapiro | None | Grant, award, or other acquisition of securities at price $ 40.95 per share. | 01 Jun 2019 | 1,160 | 12,133 (0%) | 0% | 40.9 | 47,500 | Common Stock |
| Mary L. Schapiro | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 10,973 (0%) | 0% | 0 | Common Stock | |
| Rayford Wilkins | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 50,162 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 72,463 (0%) | 0% | 0 | Common Stock | |
| Thomas Henry Glocer | None | Grant, award, or other acquisition of securities at price $ 40.92 per share. | 01 Jun 2019 | 1,955 | 74,419 (0%) | 0% | 40.9 | 80,000 | Common Stock |
| Robert H. Herz | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 70,541 (0%) | 0% | 0 | Common Stock | |
| Judith A. Miscik | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 39,484 (0%) | 0% | 0 | Common Stock | |
| Elizabeth P L Corley | None | Grant, award, or other acquisition of securities at price $ 40.95 per share. | 01 Jun 2019 | 1,160 | 15,058 (0%) | 0% | 40.9 | 47,500 | Common Stock |
| Elizabeth P L Corley | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 13,897 (0%) | 0% | 0 | Common Stock | |
| Perry M. Traquina | None | Grant, award, or other acquisition of securities at price $ 40.93 per share. | 01 Jun 2019 | 1,649 | 45,157 (0%) | 0% | 40.9 | 67,500 | Common Stock |
| Perry M. Traquina | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 43,507 (0%) | 0% | 0 | Common Stock | |
| Alistair Darling | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 24,491 (0%) | 0% | 0 | Common Stock | |
| Dennis M. Nally | None | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 01 Jun 2019 | 6,109 | 21,627 (0%) | 0% | 0 | Common Stock | |
| Alistair Darling | Director | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.96 per share. | 24 May 2019 | 511 | 18,382 (0%) | 0% | 43.0 | 21,952 | Common Stock |
| Thomas C. Kelleher | President | Gift of securities by or to the insider at price $ 0.00 per share. | 24 Apr 2019 | 10,600 | 970,068 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Purchase of securities on an exchange or from another person at price $ 47.57 per share. | 18 Apr 2019 | 7,000 | 193,088 (0%) | 0% | 47.6 | 332,979 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 26 Feb 2019 | 595 | 1,338,896 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 26 Feb 2019 | 5,985 | 1,339,491 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Gift of securities by or to the insider at price $ 0.00 per share. | 26 Feb 2019 | 665 | 1,338,231 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2019 | 245,991 | 1,584,222 (0%) | 0% | 0 | Common Stock | |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.19 per share. | 26 Feb 2019 | 131,068 | 1,453,154 (0%) | 0% | 42.2 | 5,529,759 | Common Stock |
| Paul C. Wirth | Deputy Chief Financial Officer | Sale of securities on an exchange or to another person at price $ 42.40 per share. | 26 Feb 2019 | 25,000 | 169,031 (0%) | 0% | 42.4 | 1,060,073 | Common Stock |
| Thomas C. Kelleher | President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2019 | 138,276 | 1,052,026 (0%) | 0% | 0 | Common Stock | |
| Thomas C. Kelleher | President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.19 per share. | 26 Feb 2019 | 73,038 | 978,988 (0%) | 0% | 42.2 | 3,081,473 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.19 per share. | 26 Feb 2019 | 25,738 | 254,841 (0%) | 0% | 42.2 | 1,085,886 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2019 | 52,561 | 280,579 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.19 per share. | 26 Feb 2019 | 31,450 | 260,242 (0%) | 0% | 42.2 | 1,326,876 | Common Stock |
| Eric F. Grossman | Chief Legal Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2019 | 63,915 | 291,692 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.19 per share. | 26 Feb 2019 | 36,840 | 166,223 (0%) | 0% | 42.2 | 1,554,280 | Common Stock |
| Jonathan M. Pruzan | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2019 | 68,937 | 203,063 (0%) | 0% | 0 | Common Stock | |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.19 per share. | 26 Feb 2019 | 19,561 | 133,179 (0%) | 0% | 42.2 | 825,279 | Common Stock |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2019 | 39,947 | 152,740 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 26 Feb 2019 | 82,410 | 229,945 (0%) | 0% | 0 | Common Stock | |
| Daniel A. Simkowitz | Head of Investment Management | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.19 per share. | 26 Feb 2019 | 43,857 | 186,088 (0%) | 0% | 42.2 | 1,850,327 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.53 per share. | 18 Jan 2019 | 96,230 | 1,343,309 (0%) | 0% | 42.5 | 4,092,662 | Common Stock |
| James P. Gorman | Director, Chairman and CEO | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2019 | 158,795 | 1,439,539 (0%) | 0% | 0 | Common Stock | |
| Paul C. Wirth | Deputy Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.53 per share. | 18 Jan 2019 | 34,242 | 193,173 (0%) | 0% | 42.5 | 1,456,312 | Common Stock |
| Paul C. Wirth | Deputy Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2019 | 38,572 | 227,415 (0%) | 0% | 0 | Common Stock | |
| Thomas C. Kelleher | President | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2019 | 150,365 | 924,296 (0%) | 0% | 0 | Common Stock | |
| Thomas C. Kelleher | President | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.53 per share. | 18 Jan 2019 | 12,293 | 912,003 (0%) | 0% | 42.5 | 522,821 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.53 per share. | 18 Jan 2019 | 17,508 | 227,498 (0%) | 0% | 42.5 | 744,615 | Common Stock |
| Keishi Hotsuki | Chief Risk Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2019 | 24,367 | 245,006 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2019 | 30,142 | 248,697 (0%) | 0% | 0 | Common Stock | |
| Eric F. Grossman | Chief Legal Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.53 per share. | 18 Jan 2019 | 21,595 | 227,102 (0%) | 0% | 42.5 | 918,435 | Common Stock |
| Jonathan M. Pruzan | Chief Financial Officer | Grant, award, or other acquisition of securities at price $ 0.00 per share. | 18 Jan 2019 | 33,029 | 159,863 (0%) | 0% | 0 | Common Stock | |
| Jonathan M. Pruzan | Chief Financial Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.53 per share. | 18 Jan 2019 | 26,460 | 133,403 (0%) | 0% | 42.5 | 1,125,344 | Common Stock |
| Jeffrey S. Brodsky | Chief Human Resources Officer | Payment of exercise price or tax liability using portion of securities received from the company at price $ 42.53 per share. | 18 Jan 2019 | 11,281 | 127,985 (0%) | 0% | 42.5 | 479,781 | Common Stock |