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MORGAN STANLEY (MS)

DateNameSymbolTypeSecuritySharesPriceValueOwnershipReported
10/05/2023WESTERN ASSET MUNICIPAL PARTNERS FUND INC.MNPSale 135$50,000.00$6.8MBy Subsidiary10/05/2023
09/29/2022Mondee Holdings, Inc. PurchaseWarrants to purchase Common Stock150k$11.50$1.7MSee Footnote09/29/2022
09/29/2022Mondee Holdings, Inc. PurchaseClass A Common Stock, par value $0.0001 per share1000k$0.00$0See Footnote09/29/2022
07/28/2022Mondee Holdings, Inc. PurchaseClass A Common Stock, par value $0.0001 per share2.3k$7.69$18.1kSee Footnotes07/28/2022
07/28/2022Mondee Holdings, Inc. PurchaseClass A Common Stock, par value $0.0001 per share6.3k$8.68$54.3kSee Footnotes07/28/2022
02/08/2022ALIMERA SCIENCES INCALIMSaleCommon Stock250k$4.55$1.1MBy Subsidiary02/08/2022
10/12/2021SONIM TECHNOLOGIES INCSONMSale 60k$0.00$0By Subsidiary10/12/2021
06/19/2020Ensysce Biosciences, Inc.LACQSale 776.3k$0.00$0By Subsidiary06/19/2020
09/30/2019China XD Plastics Co LtdCXDCGrantCommon Stock16M$0.00$0See Footnotes09/30/2019
09/30/2019China XD Plastics Co LtdCXDCConversionSeries D Jr. Convertible Preferred Stock, par value $0.000116M$6.25$100MSee Footnotes09/30/2019
11/26/2018Bloom Energy CorpBESaleClass A Common Stock31$15.03$465.9By subsidiary11/26/2018
11/26/2018Bloom Energy CorpBESalePut Option (obligation to buy)9$20.00$180By subsidiary11/26/2018
11/26/2018Bloom Energy CorpBESalePut Option (obligation to buy)1$20.00$20By subsidiary11/26/2018
11/26/2018Bloom Energy CorpBEPurchaseCall Option (right to buy)1$17.50$17.5By subsidiary11/26/2018
11/26/2018Bloom Energy CorpBEPurchaseCall Option (right to buy)1$15.00$15By subsidiary11/26/2018
11/26/2018Bloom Energy CorpBEPurchasePut Option (right to sell)10$15.00$150By subsidiary11/26/2018
09/19/2018EATON VANCE LTD DURATION INCOME FUNDEVVSale 557$23,000.00$12.8MBy Subsidiary09/19/2018
09/19/2018EATON VANCE SENIOR INCOME TRUSTEVFSale 327$23,000.00$7.5MBy Subsidiary09/19/2018
07/24/2017Innocoll Holdings plcINNLOtherWarrants to purchase Ordinary Shares796k$7.39$5.9MBy Subsidiaries07/24/2017
07/24/2017Innocoll Holdings plcINNLSaleOrdinary Shares3.4M$0.00$0By Subsidiaries07/24/2017
09/27/2016EATON VANCE SENIOR INCOME TRUSTEVFSale 357$23,750.00$8.5MBy Subsidiary09/27/2016
04/13/2016PACHOLDER HIGH YIELD FUND INCPHFOther (disposition)Auction Rate Cumulative Preferred486$25,000.00$12.2MBy Subsidiary04/13/2016
03/11/2016Nuveen Short Duration Credit Opportunities FundJSDPurchaseCommon Stock6k$14.67$88kBy Subsidiary01/29/2016
03/02/2016Nuveen Short Duration Credit Opportunities FundJSDSaleCommon Stock6k$14.13$84.8kBy Subsidiary01/29/2016
02/09/2016Nuveen Short Duration Credit Opportunities FundJSDPurchaseCommon Stock286$13.83$4kBy Subsidiary01/29/2016
02/09/2016Nuveen Short Duration Credit Opportunities FundJSDSaleCommon Stock86$13.86$1.2kBy Subsidiary01/29/2016
02/09/2016Nuveen Short Duration Credit Opportunities FundJSDSaleCommon Stock100$13.88$1.4kBy Subsidiary01/29/2016
02/09/2016Nuveen Short Duration Credit Opportunities FundJSDSaleCommon Stock100$13.91$1.4kBy Subsidiary01/29/2016
02/05/2016Nuveen Short Duration Credit Opportunities FundJSDSaleCommon Stock200$14.20$2.8kBy Subsidiary01/29/2016
02/05/2016Nuveen Short Duration Credit Opportunities FundJSDSaleCommon Stock200$14.21$2.8kBy Subsidiary01/29/2016
02/04/2016Nuveen Short Duration Credit Opportunities FundJSDSaleCommon Stock1.5k$14.28$21.8kBy Subsidiary01/29/2016
01/29/2016Nuveen Short Duration Credit Opportunities FundJSDSaleCommon Stock8$14.40$115.2By Subsidiary01/29/2016
01/29/2016Nuveen Short Duration Credit Opportunities FundJSDPurchaseCommon Stock8$14.41$115.3By Subsidiary01/29/2016
01/26/2016Nuveen Short Duration Credit Opportunities FundJSDPurchaseCommon Stock100$14.21$1.4kBy Subsidiary01/04/2016
01/26/2016Nuveen Short Duration Credit Opportunities FundJSDPurchaseCommon Stock100$14.22$1.4kBy Subsidiary01/04/2016
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