MS.PRI SEC फाइलिंग - Morgan Stanley - Preferred Stock- वार्षिक रिपोर्ट, प्रॉक्सी स्टेटमेंट, प्रॉस्पेक्टस

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Morgan Stanley - Preferred Stock

SEC Filings (Chronological Order)

यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।

August 4, 2025	EX-15	Letter of awareness from Deloitte & Touche LLP, dated EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated August 4, 2025, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended June 30, 2025, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
August 4, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 Commission File Number 1-11758 (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation or o
July 16, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 16, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
July 16, 2025	EX-99.1	Highlights Morgan Stanley Second Quarter 2025 Earnings Results Morgan Stanley Reports Net Revenues of $16.
July 16, 2025	EX-99.2	Quarter Ended Second Quarter 2025 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.
July 1, 2025	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 1, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS
July 1, 2025	EX-99.1	July 1 Exhibit 99.1 July 1, 2025 Morgan Stanley Announces 7.5 Cents Dividend Increase and Authorization of a Renewed $20 Billion Multi-Year Common Equity Share Repurchase Program NEW YORK - Morgan Stanley (NYSE: MS) announced that it will increase its quarterly common stock dividend to $1.00 per share from the current $0.925 per share, beginning with the common stock dividend expected to be declared by t
June 26, 2025	11-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR o TRANSITION REPORT PURSUANT TO SECTION 1
June 16, 2025	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 14, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
June 16, 2025	EX-99.1	JUNE 16 Exhibit 99.1 JUNE 16, 2025 Lynn Good Elected to Morgan Stanley Board of Directors NEW YORK - Morgan Stanley (NYSE: MS) today announced that Lynn Good has been elected to the Company’s Board of Directors, effective July 18, 2025. Ms. Good, 66, is the former Chair, CEO and President of Duke Energy. Her appointment will bring Morgan Stanley’s Board of Directors to 15 members. She will serve on the Bo
May 28, 2025	EX-FILING FEES	Filing Fee Table Ex-Filing Fees CALCULATION OF FILING FEE TABLES S-8 MORGAN STANLEY Table 1: Newly Registered and Carry Forward Securities Line Item Type Security Type Security Class Title Notes Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to be Paid Equity Common stock, $0.
May 28, 2025	EX-15	Letter of Awareness from Deloitte & Touche LLP. Exhibit 15 May 28, 2025 The Board of Directors and Shareholders of Morgan Stanley 1585 Broadway New York, New York, 10036 We are aware that our report dated May 5, 2025, on our review of interim financial information of Morgan Stanley and subsidiaries (the “Firm”) appearing in the Firm’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2025 is incorporated by reference in this Registration Statement.
May 28, 2025	S-8	As filed with the Securities and Exchange Commission on May 28, 2025. As filed with the Securities and Exchange Commission on May 28, 2025. Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 MORGAN STANLEY (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 36-3145972 (I.R.S. Employer Identi
May 28, 2025	S-8 POS	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _____________________ POST-EFFECTIVE AMENDMENT NO. 3 TO FORM S-8 REGISTRATION STATEMENT NO. 33-82240 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-281 As filed with the Securities and Exchange Commission on May 28, 2025. Registration No. 33-82240 Registration No. 333-28141 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 3 TO FORM S-8 REGISTRATION STATEMENT NO. 33-82240 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-28141 MORGAN STANLEY (Exact name of registrant as sp
May 28, 2025	S-8 POS	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _____________________ POST-EFFECTIVE AMENDMENT NO. 3 TO FORM S-8 REGISTRATION STATEMENT NO. 33-82240 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-281 As filed with the Securities and Exchange Commission on May 28, 2025. Registration No. 33-82240 Registration No. 333-28141 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 3 TO FORM S-8 REGISTRATION STATEMENT NO. 33-82240 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-8 REGISTRATION STATEMENT NO. 333-28141 MORGAN STANLEY (Exact name of registrant as sp
May 16, 2025	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 15, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS
May 16, 2025	EX-10.1	Exhibit 10.1 EXHIBIT 10.1 MORGAN STANLEY EQUITY INCENTIVE COMPENSATION PLAN (Amended and Restated as of March 31, 2025) 1. Purpose. The primary purposes of the Morgan Stanley Equity Incentive Compensation Plan are to attract, retain and motivate employees, to compensate them for their contributions to the growth and profits of the Company and to encourage them to own Morgan Stanley Stock. 2. Definitions. Excep
May 5, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 Commission File Number 1-11758 (Ex UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation or
May 5, 2025	EX-15	Letter of awareness from Deloitte & Touche LLP, dated EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated May 5, 2025, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended March 31, 2025, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
April 21, 2025	PX14A6G	U.S. Securities and Exchange Commission Washington, DC 20549 Notice of Exempt Solicitation Submitted Pursuant to Rule 14a-6(g) U.S. Securities and Exchange Commission Washington, DC 20549 Notice of Exempt Solicitation Submitted Pursuant to Rule 14a-6(g) 1. Name of the Registrant: Morgan Stanley 2. Name of person relying on exemption: The Comptroller of the City of New York, on behalf of the New York City Employees’ Retirement System, the New York City Teachers’ Retirement Systems, and the New York City Police Pension Fund
April 11, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 11, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
April 11, 2025	EX-99.2	Quarter Ended First Quarter 2025 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.
April 11, 2025	EX-99.1	8 Morgan Stanley First Quarter 2025 Earnings Results Morgan Stanley Reports Net Revenues of $17.
April 4, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Def
April 4, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as pe
April 4, 2025	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin
April 1, 2025	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 31, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Its Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation or Organization) (Commis
March 28, 2025	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 26, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Its Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation or Organization) (Commis
February 21, 2025	EX-22	Guarantor and Subsidiary Issuer of Registered Guaranteed Securities. EXHIBIT 22 Guarantor and Subsidiary Issuer of Registered Guaranteed Securities Securities Guarantor Morgan Stanley Finance LLC (“MSFL”) issues, from time to time, its Series A senior debt securities under the MSFL Senior Debt Indenture dated February 16, 2016 that are each fully and unconditionally guaranteed by Morgan Stanley.
February 21, 2025	EX-10.18	Morgan Stanley Schedule of Non-Employee Directors Annual Compensation, effective as of November 1, EXHIBIT 10.18 Morgan Stanley Schedule of Non-Employee Directors’ Annual Compensation Effective as of November 1, 2024 RETAINER(1) AMOUNT Service as a Non-employee Director $115,000 Service as Chair of Audit Committee or Risk Committee $ 40,000 Service as Chair of Compensation, Management Development $ 30,000 and Succession Committee; Governance and Sustainability Committee; or Operations and Techn
February 21, 2025	EX-19	Global Policy for Transactions in Morgan Stanley Securities EXHIBIT 19 Global Policy for Transactions in Morgan Stanley Securities Policy Owner Global Head of Compliance Information Controls Group Approver Non-Financial Risk Governance Committee Effective Date December 10, 2024 Contact Information [*] 1Executive Summary This Global Policy for Transactions in Morgan Stanley Securities to Promote Compliance with Insider Trading Laws, Rules and Regulations (the “Policy”) sets forth general rules that directors and employees of Morgan Stanley must follow with respect to transactions in Morgan Stanley securities.
February 21, 2025	EX-10.19	Description of EXHIBIT 10.19 Description of Executive Health Coverage All members of the Operating Committee of Morgan Stanley (the “Company”) are eligible to participate in Company-sponsored health and insurance benefit programs available in the relevant jurisdiction to similarly situated employees. Operating Committee members are also eligible to participate in Morgan Stanley’s Executive Health Program under w
February 21, 2025	EX-21	Subsidiaries of Morgan Stanley. EXHIBIT 21 Subsidiaries of Morgan Stanley* As of December 31, 2024 * Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Morgan Stanley are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a “significant subsidiary” as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act of 1934.
February 21, 2025	EX-10.6	Directors’ Equity Capital Accumulation Plan as amended and restated as of November 1, EXHIBIT 10.6 MORGAN STANLEY DIRECTORS’ EQUITY CAPITAL ACCUMULATION PLAN (as amended and restated November 1, 2024) Section 1.Purpose Morgan Stanley, a Delaware corporation (the “Company”), hereby adopts the Morgan Stanley Directors’ Equity Capital Accumulation Plan (the “Plan”). The purpose of the Plan is to promote the long-term growth and financial success of the Company by attracting, motivatin
February 21, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2024 Commission File Number 1-11758 (Exact name of Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2024 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporati
February 21, 2025	EX-10.22	Form of Award Certificate for EXHIBIT 10.22 Morgan Stanley Equity Incentive Compensation Plan [YEAR] PERFORMANCE STOCK UNIT AWARD AWARD CERTIFICATE Morgan Stanley [Year] Long-Term Incentive Program Award Award Certificate Morgan Stanley has awarded you a [year] performance stock unit award under the long-term incentive program (“PSU Award”) as an incentive for you to remain in Employment and provide services to the Firm. This
February 21, 2025	EX-4.1	Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. EXHIBIT 4.1 DESCRIPTION OF THE SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of February 21, 2025, Morgan Stanley has three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (1) common stock; (2) nine series of depositary shares representing interests in preferred stock; and (3) two is
February 21, 2025	EX-10.4	Amendment to Morgan Stanley 401(k) Plan, dated December EXHIBIT 10.4 AMENDMENT TO THE MORGAN STANLEY 401(k) PLAN Morgan Stanley Services Group Inc. (the “Company”), pursuant to authority granted to it by Morgan Stanley Domestic Holdings, LLC, hereby amends the Morgan Stanley 401(k) Plan, effective as of January 1, 2024, unless otherwise stated, as follows: 1.Effective August 1, 2023, Section 2, Definitions, is amended by replacing the definition of “Co
February 21, 2025	EX-10.17	Morgan Stanley Compensation Incentive Plan, as amended and restated as of December 1 EXHIBIT 10.17 MORGAN STANLEY COMPENSATION INCENTIVE PLAN PLAN DOCUMENT AMENDED AND RESTATED AS OF DECEMBER 16, 2024 This plan document sets forth the terms and conditions of the Morgan Stanley Compensation Incentive Plan (“MSCIP” or the “Plan”). The Plan provides for the establishment of Accounts for Participants, for administration purposes only, which Accounts shall at all times represent contin
February 13, 2025	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 13, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
February 5, 2025	EX-99.1 CHARTER	EX-99.1 CHARTER EX-99.1 CHARTER 2 EXHIBITNO.99.1.txt EXHIBIT NO. 99.1 TO SCHEDULE 13G JOINT FILING AGREEMENT CUSIP No.87164F105 13G - EXHIBIT NO. 99.1 TO SCHEDULE 13G JOINT FILING AGREEMENT - February 5, 2025 - MORGAN STANLEY and Morgan Stanley & Co. LLC hereby agree that, unless differentiated, this Schedule 13G is filed on behalf of each of the parties. MORGAN STANLEY BY: /s/ Christopher O'Hara - Christopher O'
January 16, 2025	EX-99.1	Full Year Highlights Morgan Stanley Fourth Quarter and Full Year 2024 Earnings Results Morgan Stanley Reports Fourth Quarter Net Revenues of $16.
January 16, 2025	EX-99.3	Four Pillars of Morgan Stanley: The Integrated Firm Ted Pick, Chairman and Chief Executive Officer January 16, 2025 Notice 2 The information provided herein includes certain non-GAAP financial measures. The definition of such measures and/or the reco Four Pillars of Morgan Stanley: The Integrated Firm Ted Pick, Chairman and Chief Executive Officer January 16, 2025 Notice 2 The information provided herein includes certain non-GAAP financial measures.
January 16, 2025	EX-99.2	Quarter Ended Fourth Quarter 2024 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.
January 16, 2025	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 16, 2025 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
December 20, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 19, 2024 Morgan Stanley UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 19, 2024 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
November 4, 2024	EX-15	Letter of awareness from Deloitte & Touche LLP, dated EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated November 4, 2024, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended September 30, 2024, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
November 4, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 Commission File Number 1-11758 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation
October 24, 2024	EX-99.1	October 24 Exhibit 99.1 FOR IMMEDIATE RELEASE October 24, 2024 Morgan Stanley Announces Ted Pick to Become Chairman on January 1, 2025 CEO Ted Pick was Elected by Board to Additional Position of Chairman in 2025; James Gorman to Step Down as Chairman and Retire from Firm at Year End NEW YORK - Morgan Stanley (NYSE: MS) today announced that Chief Executive Officer Edward (Ted) Pick was elected by the Board of
October 24, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 23, 2024 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
October 16, 2024	EX-99.1	Highlights Morgan Stanley Third Quarter 2024 Earnings Results Morgan Stanley Reports Net Revenues of $15.
October 16, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 16, 2024 Morgan Stanley ( UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 16, 2024 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
October 16, 2024	EX-99.2	Quarter Ended Third Quarter 2024 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.
October 2, 2024	CORRESP	* * * * * FOIA CONFIDENTIAL TREATMENT REQUESTED PURSUANT TO C.F.R. § 200.83. October 2, 2024 VIA EDGAR, DELIVERY AND ELECTRONIC MAIL Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Mail Stop 4561 Washington, DC 20549 Attention: Lory Empie Marc Thomas Todd Schiffman James Lopez Re: Morgan Stanley Form 10-K for the Fiscal Year Ended December 31, 2023 Filed February 22, 20
August 26, 2024	CORRESP	* * * * * August 26, 2024 VIA EDGAR AND ELECTRONIC MAIL Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.
August 5, 2024	EX-3.1	Exhibit 3.1 EXHIBIT 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF MORGAN STANLEY The present name of the corporation is Morgan Stanley. The corporation was incorporated under the name “Sears Acquisition Corporation” by the filing of its original Certificate of Incorporation with the Secretary of State of the State of Delaware on October 1, 1981. This Amended and Restated Certificate of Incorporatio
August 5, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 Commission File Number 1-11758 (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation or o
August 5, 2024	EX-15	Letter of awareness from Deloitte & Touche LLP, dated EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated August 5, 2024, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended June 30, 2024, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
July 30, 2024	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 29, 2024 MORGAN STANLEY (Exact Name of Registrant as Specified in Charter) delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
July 29, 2024	EX-2.3	Certificate of Designation, establishing the voting powers, designations, preferences, rights and qualifications, limitations or restrictions of the Series Q Preferred Stock, as filed with the Secretary of State of the State of Delaware on July 29, 2024. Exhibit 2.3 CERTIFICATE OF DESIGNATION OF PREFERENCES AND RIGHTS OF THE 6.625% NON-CUMULATIVE PREFERRED STOCK, SERIES Q (Liquidation Preference $25,000 per share) OF MORGAN STANLEY Pursuant to Section 151 of the General Corporation Law of the State of Delaware Morgan Stanley, a Delaware corporation (hereinafter called the “Corporation”), DOES HEREBY CERTIFY that, pursuant to resolutions of the Pre
July 29, 2024	EX-2.5	Form of certificate representing the Series Q Preferred Stock. Exhibit 2.5 6.625% NON-CUMULATIVE PREFERRED STOCK, SERIES Q ($25,000 LIQUIDATION PREFERENCE) NUMBER SHARES 1 40,000 CUSIP 61762V 820 MORGAN STANLEY INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE THIS CERTIFICATE IS TRANSFERABLE IN THE CITY OF NEW YORK, NEW YORK This is to certify that The Bank of New York Mellon, as Depositary under the Deposit Agreement, dated as of July 30, 2024, among Mor
July 29, 2024	8-A12B	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 MORGAN STANLEY (Exact name of registrant as spe UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 MORGAN STANLEY (Exact name of registrant as specified in its charter) DELAWARE (State of incorporation or organization) 36-3145972 (I.R.S. Employer Identification No.) 1585 Broadway, New York, New
July 29, 2024	EX-2.4	Exhibit 4.26 Exhibit 2.4 MORGAN STANLEY, THE BANK OF NEW YORK MELLON AND THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN DEPOSIT AGREEMENT Dated as of July 30, 2024 TABLE OF CONTENTS Page Article 1 Definitions Section 1.01. Definitions 1 Article 2 Form of Receipts, Deposit of Stock, Execution and Delivery, Transfer, Surrender and Redemption of Receipts Section 2.01. Form and Transfer
July 16, 2024	EX-99.2	Quarter Ended Second Quarter 2024 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.
July 16, 2024	EX-99.1	Highlights Morgan Stanley Second Quarter 2024 Earnings Results Morgan Stanley Reports Net Revenues of $15.
July 16, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 16, 2024 Morgan Stanley (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 16, 2024 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
July 5, 2024	EX-99.2	SCHEDULE 13G EXHIBIT 99.2 CUSIP No. 02215L209 SCHEDULE 13G Page 12 of 12 Pages ITEM 7 INFORMATION The securities being reported on by Morgan Stanley as a parent holding company are owned, or may be deemed to be beneficially owned, by MS Capital Partners Adviser Inc., an indirectly wholly-owned subsidiary of Morgan Stanley, as well as MS Energy Partners GP LP, Durango Investment Holdings LLC, and Durango Midstr
July 5, 2024	SC 13G	KNTK / Kinetik Holdings Inc. / MORGAN STANLEY - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* KINETIK HOLDINGS INC. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 02215L209 (CUSIP Number) June 24, 2024 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua
July 5, 2024	EX-99.1	SCHEDULE 13G EXHIBIT 99.1 CUSIP No. 02215L209 SCHEDULE 13G Page 11 of 12 Pages JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the Class A Common Stock of Kinetik Holdings, Inc., dated as of July 5, 2024, is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of us pursuant
June 28, 2024	EX-99.1	# # # Exhibit 99.1 FOR IMMEDIATE RELEASE June 28, 2024 Morgan Stanley Announces 7.5 Cents Dividend Increase and Authorization of a Renewed $20 Billion Multi-Year Common Equity Share Repurchase Program NEW YORK – Morgan Stanley (NYSE: MS) announced that it will increase its quarterly common stock dividend to $0.925 per share from the current $0.85 per share, beginning with the common stock dividend expec
June 28, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 28, 2024 Morgan Stanley (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 28, 2024 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
June 18, 2024	11-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR o TRANSITION REPORT PURSUANT TO SECTION 1
May 29, 2024	EX-15	Letter of Awareness from Deloitte & Touche LLP. EXHIBIT 15 May 28, 2024 The Board of Directors and Shareholders of Morgan Stanley 1585 Broadway New York, New York, 10036 We are aware that our report dated May 3, 2024, on our review of interim financial information of Morgan Stanley and subsidiaries (the “Firm”) appearing in the Firm’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2024 is incorporated by reference in Registration Statement No.
May 29, 2024	S-8 POS	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _____________________ POST-EFFECTIVE AMENDMENT NO. 1 FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 _____________________ MORGAN STANLEY (Exact name of registrant as As filed with the Securities and Exchange Commission on May 28, 2024. Registration No. 333-78081 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 MORGAN STANLEY (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organiz
May 24, 2024	8-K	Submission of Matters to a Vote of Security Holders, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 23, 2024 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS
May 9, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin
May 3, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 Commission File Number 1-11758 (Ex UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation or
May 3, 2024	EX-15	Letter of awareness from Deloitte & Touche LLP, dated EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated May 3, 2024, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended March 31, 2024, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
April 16, 2024	EX-99.1	Highlights Morgan Stanley First Quarter 2024 Earnings Results Morgan Stanley Reports Net Revenues of $15.
April 16, 2024	EX-99.2	Quarter Ended First Quarter 2024 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.
April 16, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 16, 2024 Date of report (Da UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 16, 2024 Date of report (Date of earliest event reported): Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdic
April 11, 2024	CORRESP	Davis Polk & Wardwell Davis Polk & Wardwell llp 450 Lexington Avenue New York, NY 10017 davispolk.com April 11, 2024 Re: Morgan Stanley/Morgan Stanley Finance LLC Registration Statement on Form S-3, as amended File Nos. 333-275587 and 333-275587-01 Request for Acceleration of Effectiveness VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549-010 Attentio
April 11, 2024	PX14A6G	United States Securities and Exchange Commission Washington, D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14a-103 United States Securities and Exchange Commission Washington, D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14a-103 Name of the Registrant: Morgan Stanley Name of persons relying on exemption: Inspire Investing, LLC Address of persons relying on exemption: 3597 E Monarch Sky Ln, Suite 330, Meridian, ID 83646 As over 100 investors and financial professionals, serving thousands of clients
April 9, 2024	CORRESP	MORGAN STANLEY 1585 Broadway New York, New York 10036 MORGAN STANLEY FINANCE LLC 1585 Broadway New York, New York 10036 MORGAN STANLEY 1585 Broadway New York, New York 10036 MORGAN STANLEY FINANCE LLC 1585 Broadway New York, New York 10036 April 9, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.
April 8, 2024	PX14A6G	U.S. Securities and Exchange Commission Washington, DC 20549 Notice of Exempt Solicitation Submitted Pursuant to Rule 14a-6(g) U.S. Securities and Exchange Commission Washington, DC 20549 Notice of Exempt Solicitation Submitted Pursuant to Rule 14a-6(g) 1. Name of the Registrant: Morgan Stanley 2. Name of person relying on exemption: The Comptroller of the City of New York, on behalf of the New York City Employees’ Retirement System, the New York City Teachers’ Retirement System, the New York City Police Pension Fund, and
April 5, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Def
April 5, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule
April 5, 2024	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Def
April 5, 2024	DEF 14A	COURTESY PDF Noticeof2024AnnualMeeting andProxyStatementApril5,2024 JamesP.Gorman Dearfellowshareholders, IcordiallyinviteyoutoattendMorganStanley’s2024annualmeetingof shareholdersonThursday,May23,2024,whichwillbeconducted virtually.Ihopethatyouwillbeabletoattend,andifnot,Iencourageyou tovotebyproxy.Yourvoteisveryimportant. ItwasaprivilegetoleadMorganStanleyfor14yearsandIamhonoredto havebeenpartofitstremendous
April 5, 2024	DEFA14A	DEFA14A Morgan Stanley Compensation & Governance Practices April 20242 FOR: Four Management Proposals • Approve the compensation of Named Executive Officers (Say on Pay Non-Binding Advisory Vote) • Elect all Director Nominees • Ratify Deloitte & Touche LLP’s Appointment as the Firm’s Independent Auditor • Approve Non-U.
March 25, 2024	PX14A6G	Conclusion NOTICE OF EXEMPT SOLICITATION SUBMITTED BY NON-MANAGEMENT U.S. Securities and Exchange Commission Washington, DC 20549 Notice of Exempt Solicitation under Rule 14a-103 Name of Registrant: Morgan Stanley Name of person relying on exemption: Bowyer Research Address of person relying on exemption: P.O. Box 120, McKeesport, PA 15135 Vote Yes: Report on Risks of Politicized De-banking Bowyer Research s
March 21, 2024	PX14A6G	U.S. Securities and Exchange Commission Washington, DC 20549 Notice of Exempt Solicitation Submitted Pursuant to Rule 14a-6(g) U.S. Securities and Exchange Commission Washington, DC 20549 Notice of Exempt Solicitation Submitted Pursuant to Rule 14a-6(g) 1. Name of the Registrant: Morgan Stanley 2. Name of person relying on exemption: The Comptroller of the City of New York, on behalf of the New York City Employees’ Retirement System, the New York City Teachers’ Retirement System, the New York City Police Pension Fund, and
February 26, 2024	EX-5.A	Consent of Davis Polk & Wardwell LLP (included in Exhibit 5-a). Exhibits 5-a and 23-b February 26, 2024 Morgan Stanley 1585 Broadway New York, New York 10036 Morgan Stanley Finance LLC 1585 Broadway New York, New York 10036 OPINION OF DAVIS POLK & WARDWELL LLP Ladies and Gentlemen: Morgan Stanley, a Delaware corporation (the “Company”), and Morgan Stanley Finance LLC, a Delaware limited liability company (“MSFL”), are filing with the Securities and Exchange Co
February 26, 2024	EX-23.C	Consent of Davis Polk & Wardwell LLP. Exhibit 23-c February 26, 2024 Re: Registration Statement, filed by Morgan Stanley and Morgan Stanley Finance LLC Registration Statement Nos.
February 26, 2024	POS AM	As filed with the Securities and Exchange Commission on February 26, 2024 As filed with the Securities and Exchange Commission on February 26, 2024 Registration No.
February 26, 2024	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) MORGAN STANLEY MORGAN STANLEY FINANCE LLC (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title (1) (2) Fee Calculation or Carry Forward Rule Amount Registered (3) Proposed Maximum Offering Price Per Unit (3) Maximum Aggregate Offering Price (1
February 26, 2024	EX-23.A	Consent of Deloitte & Touche LLP. Exhibit 23-a CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in Registration Statement Nos.
February 22, 2024	EX-10.21	Exhibit 10.21 EXHIBIT 10.21 Morgan Stanley Morgan Stanley Compensation Incentive Plan [YEAR] DISCRETIONARY RETENTION AWARDS AWARD CERTIFICATE Morgan Stanley Morgan Stanley Compensation Incentive Plan [Year] Discretionary Retention Awards Award Certificate Morgan Stanley has granted you an award under the Morgan Stanley Compensation Incentive Plan (the “Plan”) as part of your discretionary incentive compensation
February 22, 2024	EX-10.20	Exhibit 10.20 EXHIBIT 10.20 Morgan Stanley Equity Incentive Compensation Plan [YEAR] DISCRETIONARY RETENTION AWARDS AWARD CERTIFICATE FOR STOCK UNITS Morgan Stanley [YEAR] Discretionary Retention Awards Award Certificate for Stock Units Morgan Stanley has awarded you retention stock units as part of your discretionary incentive compensation and as an incentive for you to remain in Employment and provide service
February 22, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2023 Commission File Number 1-11758 (Exact name of Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2023 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporati
February 22, 2024	POSASR	As filed with the Securities and Exchange Commission on February 22, 2024 As filed with the Securities and Exchange Commission on February 22, 2024 Registration No.
February 22, 2024	EX-97	Exhibit 97 EXHIBIT 97 MORGAN STANLEY COMPENSATION RECOUPMENT POLICY This Morgan Stanley Compensation Recoupment Policy (“Policy”) has been adopted by the Board of Directors (the “Board”) of Morgan Stanley (the “Company”) on October 25, 2023 upon the recommendation of the Committee.
February 22, 2024	EX-21	Subsidiaries of Morgan Stanley. EXHIBIT 21 Subsidiaries of Morgan Stanley* As of December 31, 2023 * Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Morgan Stanley are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a “significant subsidiary” as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act of 1934.
February 22, 2024	EX-5.A	Consent of Davis Polk & Wardwell LLP (included in Exhibit 5-a). Exhibits 5-a and 23-b February 22, 2024 Morgan Stanley 1585 Broadway New York, New York 10036 Morgan Stanley Finance LLC 1585 Broadway New York, New York 10036 OPINION OF DAVIS POLK & WARDWELL LLP Ladies and Gentlemen: Morgan Stanley, a Delaware corporation (the “Company”), and Morgan Stanley Finance LLC, a Delaware limited liability company (“MSFL”), are filing with the Securities and Exchange Co
February 22, 2024	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table Form S-3 (Form Type) MORGAN STANLEY MORGAN STANLEY FINANCE LLC (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title (1) (2) Fee Calculation or Carry Forward Rule Amount Registered (3) Proposed Maximum Offering Price Per Unit (3) Maximum Aggregate Offering Price (1
February 22, 2024	EX-10.4	Amendment to Morgan Stanley 401(k) Plan, dated December EXHIBIT 10.4 AMENDMENT TO THE MORGAN STANLEY 401(k) PLAN Morgan Stanley Services Group Inc. (the “Company”), pursuant to authority granted to it by Morgan Stanley Domestic Holdings, Inc., hereby amends the Morgan Stanley 401(k) Plan, effective as of January 1, 2024, unless otherwise stated, as follows: 1.Appendix A, IIG Participating Companies, is amended by inserting “through February 27, 2023” a
February 22, 2024	EX-23.A	Consent of Deloitte & Touche LLP. EXHIBIT 23-a CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in Registration Statement Nos.
February 22, 2024	EX-15	Letter of Awareness from Deloitte & Touche LLP. EXHIBIT 15 To the Board of Directors and Shareholders of Morgan Stanley: We are aware that our reports dated May 2, 2023, August 3, 2023, and November 3, 2023, on our review of interim financial information of Morgan Stanley and subsidiaries (the “Firm”) appearing in the Firm’s Quarterly Reports on Form 10-Q for the quarters ended March 31, 2023, June 30, 2023, and September 30, 2023, respectively, are incorporated by reference in Registration Statement Nos.
February 22, 2024	EX-4.1	Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. EXHIBIT 4.1 DESCRIPTION OF THE SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of February 22, 2024, Morgan Stanley has three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (1) common stock; (2) eight series of depositary shares representing interests in preferred stock; and (3) two i
February 22, 2024	EX-22	Guarantor and Subsidiary Issuer of Registered Guaranteed Securities. EXHIBIT 22 Guarantor and Subsidiary Issuer of Registered Guaranteed Securities Securities Guarantor Morgan Stanley Finance LLC (“MSFL”) issues, from time to time, its Series A senior debt securities under the MSFL Senior Debt Indenture dated February 16, 2016 that are each fully and unconditionally guaranteed by Morgan Stanley.
February 22, 2024	EX-10.22	Form of Award Certificate for Long-Term Incentive Program Awards EXHIBIT 10.22 Morgan Stanley Equity Incentive Compensation Plan [YEAR] LONG-TERM INCENTIVE PROGRAM AWARD AWARD CERTIFICATE Morgan Stanley [Year] Long-Term Incentive Program Award Award Certificate Morgan Stanley has awarded you a [year] long-term incentive program award (“LTIP Award”) as an incentive for you to remain in Employment and provide services to the Firm. This Award Certificate sets fort
February 22, 2024	EX-23.C	Consent of Davis Polk & Wardwell LLP. Exhibit 23-c February 22, 2024 Re: Registration Statement, filed by Morgan Stanley and Morgan Stanley Finance LLC Registration Statement Nos.
February 13, 2024	SC 13G/A	MS / Morgan Stanley / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 6)* Name of issuer: Morgan Stanley Title of Class of Securities: Common Stock CUSIP Number: 617446448 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule
February 12, 2024	SC 13G	AUR / Aurora Innovation, Inc. / MORGAN STANLEY - MS INITIAL Passive Investment SC 13G 1 AuroraInnovationAUR.txt MS INITIAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Aurora Innovation, Inc. - (Name of Issuer) Class A Common Stock - (Title of Class of Securities) 051774107 - (CUSIP Number) December 31, 2023 - (Date Of Event which Requires Filing of this Statement) Check the ap
January 31, 2024	SC 13G/A	MS / Morgan Stanley / BlackRock Inc. Passive Investment SC 13G/A 1 us6174464486013124.txt us6174464486013124.txt SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No: 7) MORGAN STANLEY - (Name of Issuer) Common Stock - (Title of Class of Securities) 617446448 - (CUSIP Number) December 31, 2023 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to
January 30, 2024	SC 13G/A	MS / Morgan Stanley / STATE STREET CORP Passive Investment SC 13G/A 1 MorganStanley.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 AMENDED FILING MORGAN STANLEY (NAME OF ISSUER) COMMON STOCK (TITLE OF CLASS OF SECURITIES) 617446448 (CUSIP NUMBER) 12/31/2023 (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO W
January 19, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 17, 2024 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
January 16, 2024	EX-99.2	13 - 14 Exhibit 99.2 Fourth Quarter 2023 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.S. Bank Supplemental Financial Information 3 Consolidated Average Common Equity and Regulatory Capital Information 4 Institutional Securities Income Statement Information, Financial Metrics and Ratios
January 16, 2024	EX-99.1	4Q 2023 Exhibit 99.1 Morgan Stanley Fourth Quarter and Full Year 2023 Earnings Results Morgan Stanley Reports Fourth Quarter Net Revenues of $12.9 Billion, EPS of $0.85 and ROTCE of 8.4%; Full Year Net Revenues of $54.1 Billion, EPS of $5.18 and ROTCE of 12.8% NEW YORK, January 16, 2024 – Morgan Stanley (NYSE: MS) today reported net revenues of $12.9 billion for the fourth quarter ended December 31, 2023
January 16, 2024	EX-99.3	Morgan Stanley: Driving the Integrated Firm Ted Pick, Chief Executive Officer January 16, 2024 Notice 2 The information provided herein includes certain non-GAAP financial measures. The definition of such measures and/or the reconciliation of such me Exhibit 99.3 Morgan Stanley: Driving the Integrated Firm Ted Pick, Chief Executive Officer January 16, 2024 Notice 2 The information provided herein includes certain non-GAAP financial measures. The definition of such measures and/or the reconciliation of such measures to the comparable U.S. GAAP figures are included in this presentation, or in Morgan Stanley's (the ‘Company’) Annual Report on For
January 16, 2024	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 16, 2024 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
December 8, 2023	EX-3.1	Exhibit 3.1 Exhibit 3.1 As Amended December 7, 2023 Amended And Restated Bylaws Of Morgan Stanley (hereinafter called the “Corporation”) Article 1 Offices and Records Section 1.01. Delaware Office. The registered office of the Corporation in the State of Delaware shall be as set forth in the Certificate of Incorporation (as amended and/or restated, the “Certificate of Incorporation”). Section 1.02. Other Offi
December 8, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 7, 2023 Morgan Stanley ( UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 7, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
December 1, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 30, 2023 Morgan Stanley UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 30, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
November 16, 2023	EX-23.A	Consent of Deloitte & Touche LLP. EXHIBIT 23-a CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Registration Statement on Form S-3 of our reports dated February 24, 2023, relating to the consolidated financial statements of Morgan Stanley and subsidiaries (the “Firm”) and the effectiveness of the Firm’s internal control over financial reporting, appearing in the Annual Report on Form 10-K of Morgan Stanley for the year ended December 31, 2022.
November 16, 2023	EX-25.D	Statement of Eligibility of The Bank of New York Mellon, as trustee under the Morgan Stanley Finance LLC Senior Indenture dated as of February 16, 2016 (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). Exhibit 25-d UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) \|\| THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction
November 16, 2023	EX-15	Letter of Awareness from Deloitte & Touche LLP. EXHIBIT 15 To the Board of Directors and Shareholders of Morgan Stanley: We are aware that our reports dated May 2, 2023, August 3, 2023, and November 3, 2023, on our review of interim financial information of Morgan Stanley and subsidiaries (the “Firm”) appearing in the Firm’s Quarterly Reports on Form 10-Q for the quarters ended March 31, 2023, June 30, 2023, and September 30, 2023, respectively, are incorporated by reference in this Registration Statement.
November 16, 2023	EX-25.C	Statement of Eligibility of The Bank of New York Mellon, as trustee under the Morgan Stanley Amended and Restated Senior Indenture dated as of May 1, 1999 (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). Exhibit 25-c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) \|\| THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction
November 16, 2023	EX-4.FF	Form of Subordinated Variable Rate Renewable Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-ff [FORM OF FACE OF NOTE] SUBORDINATED VARIABLE RATE RENEWABLE NOTE REGISTERED REGISTERED No.
November 16, 2023	EX-1.A	U.S. Distribution Agreement dated as of November 16, 2023 (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 1-a MORGAN STANLEY Global Medium Term Notes, Series F Global Units, Series F Global Warrants, Series F Global Medium Term Notes, Series I MORGAN STANLEY FINANCE LLC Global Medium Term Notes, Series A Global Units, Series A Global Warrants, Series A Fully and Unconditionally Guaranteed by Morgan Stanley U.
November 16, 2023	EX-23.C	Consent of Davis Polk & Wardwell LLP. EXHIBIT 23-c November 16, 2023 Re: Registration Statement, filed by Morgan Stanley and Morgan Stanley Finance LLC dated November 16, 2023 Morgan Stanley 1585 Broadway New York, NY 10036 Ladies and Gentlemen: We have acted as tax counsel for Morgan Stanley (the “Company”) and Morgan Stanley Finance LLC (“MSFL”) in connection with the preparation and filing of a registration statement on Form S-3 (t
November 16, 2023	EX-25.B	Statement of Eligibility of The Bank of New York Mellon, as trustee under the Morgan Stanley Subordinated Indenture dated as of October 1, 2004 (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). Exhibit 25-b UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) \|\| THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction
November 16, 2023	EX-25.A	Statement of Eligibility of The Bank of New York Mellon, as trustee under the Morgan Stanley Senior Indenture dated as of November 1, 2004 (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). Exhibit 25-a UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) \|\| THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction
November 16, 2023	EX-4.LL	Form of Euro Fixed/Floating Rate Senior Registered Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-ll [FORM OF FACE OF NOTE] EURO FIXED/FLOATING RATE SENIOR REGISTERED NOTE REGISTERED REGISTERED No.
November 16, 2023	EX-4.KK	Form of Euro Senior Registered Floating Rate Renewable Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-kk [FORM OF FACE OF NOTE] EURO SENIOR REGISTERED FLOATING RATE RENEWABLE NOTE REGISTERED No.
November 16, 2023	EX-4.II	Form of Euro Fixed Rate Senior Registered Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-ii [FORM OF FACE OF NOTE] EURO FIXED RATE SENIOR REGISTERED NOTE REGISTERED REGISTERED No.
November 16, 2023	EX-1.B	Euro Distribution Agreement dated as of November 16, 2023 (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 1-b MORGAN STANLEY Global Medium-Term Notes, Series J and Series K EURO DISTRIBUTION AGREEMENT November 16, 2023 Morgan Stanley & Co.
November 16, 2023	EX-1.C	Form of Underwriting Agreement for Debt Securities, Warrants, Purchase Contracts and Units (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 1-c FORM OF MORGAN STANLEY UNDERWRITING AGREEMENT (DEBT SECURITIES, WARRANTS, PURCHASE CONTRACTS AND UNITS) , 20 To the Managers named in Schedule I hereto for the Underwriters named in Schedule II hereto Ladies and Gentlemen: Morgan Stanley, a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule II hereto (the “Underwriters”), for whom you are acting as managers (the “Managers”), the principal amount of its debt securities identified in Schedule I hereto (the “Securities”), to be issued under the indenture specified in Schedule I hereto (the “Indenture”) between the Company and the Trustee identified in such Schedule (the “Trustee”).
November 16, 2023	EX-25.E	Statement of Eligibility of The Bank of New York Mellon, as trustee under the Morgan Stanley Junior Subordinated Indenture dated as of October 12, 2006 (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). Exhibit 25-e UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM T-1 STATEMENT OF ELIGIBILITY UNDER THE TRUST INDENTURE ACT OF 1939 OF A CORPORATION DESIGNATED TO ACT AS TRUSTEE CHECK IF AN APPLICATION TO DETERMINE ELIGIBILITY OF A TRUSTEE PURSUANT TO SECTION 305(b)(2) \|\| THE BANK OF NEW YORK MELLON (Exact name of trustee as specified in its charter) New York (Jurisdiction
November 16, 2023	EX-4.HH	Form of Fixed/Floating Rate Senior Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-hh [FORM OF FACE OF NOTE] FIXED/FLOATING RATE SENIOR NOTE REGISTERED REGISTERED No.
November 16, 2023	EX-4.GG	Form of Fixed Rate Amortizing Senior Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-gg [FORM OF FACE OF NOTE] FIXED RATE AMORTIZING SENIOR NOTE REGISTERED REGISTERED No.
November 16, 2023	EX-4.CC	Form of Senior Variable Rate Renewable Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-cc [FORM OF FACE OF NOTE] SENIOR VARIABLE RATE RENEWABLE NOTE REGISTERED No.
November 16, 2023	EX-1.D	Form of Underwriting Agreement for Preferred Stock, Depositary Shares and Common Stock (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 1-d FORM OF UNDERWRITING AGREEMENT (PREFERRED STOCK, DEPOSITARY SHARES AND COMMON STOCK) MORGAN STANLEY , 20 To the Managers named in Schedule I hereto for the Underwriters named in Schedule II hereto Ladies and Gentlemen: Morgan Stanley, a Delaware corporation (the “Company”), proposes to issue and sell to the several underwriters named in Schedule II hereto (the “Underwriters”), for whom you are acting as managers (the “Managers”), the number of its [shares of its % Cumulative Preferred Stock, par value $.
November 16, 2023	EX-5.A	Consent of Davis Polk & Wardwell LLP (included in Exhibit 5-a). Exhibits 5-a and 23-b November 16, 2023 Morgan Stanley 1585 Broadway New York, New York 10036 Morgan Stanley Finance LLC 1585 Broadway New York, New York 10036 OPINION OF DAVIS POLK & WARDWELL LLP Ladies and Gentlemen: Morgan Stanley, a Delaware corporation (the “Company”), and Morgan Stanley Finance LLC, a Delaware limited liability company (“MSFL”), are filing with the Securities and Exchange Co
November 16, 2023	EX-4.DD	Form of Floating Rate Subordinated Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-dd [FORM OF FACE OF NOTE] FLOATING RATE SUBORDINATED NOTE REGISTERED REGISTERED No.
November 16, 2023	EX-4.BB	Form of Fixed Rate Senior Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-bb [FORM OF FACE OF NOTE] FIXED RATE SENIOR NOTE REGISTERED REGISTERED No.
November 16, 2023	EX-4.HHH	Form of MSFL Floating Rate Senior Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-hhh [FORM OF FACE OF NOTE] FLOATING RATE SENIOR NOTE REGISTERED [PRINCIPAL AMOUNT] No.
November 16, 2023	EX-4.JJ	Form of Euro Floating Rate Senior Registered Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-jj [FORM OF FACE OF NOTE] EURO FLOATING RATE SENIOR REGISTERED NOTE REGISTERED REGISTERED No.
November 16, 2023	S-3ASR	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 As filed with the Securities and Exchange Commission on November 16, 2023 Registration No.
November 16, 2023	EX-FILING FEES	Filing Fee Table. Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) MORGAN STANLEY MORGAN STANLEY FINANCE LLC (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount o
November 16, 2023	EX-4.AA	Form of Floating Rate Senior Note (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form S-3, Registration Nos. 333-275587 and 333-275587-01, and incorporated herein by reference). EXHIBIT 4-aa [FORM OF FACE OF NOTE] FLOATING RATE SENIOR NOTE REGISTERED [PRINCIPAL AMOUNT] No.
November 3, 2023	EX-15	Letter of awareness from Deloitte & Touche LLP, dated EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated November 3, 2023, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended September 30, 2023, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
November 3, 2023	EX-10.1	Exhibit 10.1 EXHIBIT 10.1 Seventh Amendment to Investor Agreement THIS SEVENTH AMENDMENT TO THE INVESTOR AGREEMENT (this “Amendment”), dated as of October 13, 2023, is made by and between Morgan Stanley, a Delaware corporation (the “Company”), and Mitsubishi UFJ Financial Group, Inc., a joint stock company organized under the laws of Japan (the “Investor”). W I T N E S S E T H: WHEREAS, the Company and the Inv
November 3, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 Commission File Number 1-11758 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation
October 27, 2023	EX-99.1	# # # Exhibit 99.1 Morgan Stanley FOR IMMEDIATE RELEASE October 25, 2023 Morgan Stanley Announces Ted Pick to Become Chief Executive Officer on January 1, 2024 James Gorman to Become Executive Chairman Andy Saperstein to be Co-President and Head of Wealth and Investment Management; Dan Simkowitz to be Co-President and Head of Institutional Securities NEW YORK - The Board of Directors of Morgan Stanley (
October 27, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 25, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
October 18, 2023	EX-99.1	Quarter Ended Exhibit 99.1 Morgan Stanley Third Quarter 2023 Earnings Results Morgan Stanley Reports Net Revenues of $13.3 Billion, EPS of $1.38 and ROTCE of 13.5% NEW YORK, October 18, 2023 – Morgan Stanley (NYSE: MS) today reported net revenues of $13.3 billion for the third quarter ended September 30, 2023 compared to $13.0 billion a year ago. Net income applicable to Morgan Stanley was $2.4 billion, or $1.3
October 18, 2023	EX-99.2	13 - 14 Exhibit 99.2 Third Quarter 2023 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.S. Bank Supplemental Financial Information 3 Consolidated Average Common Equity and Regulatory Capital Information 4 Institutional Securities Income Statement Information, Financial Metrics and Ratios
October 18, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 18, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
October 16, 2023	SC 13D/A	MS / Morgan Stanley / MITSUBISHI UFJ FINANCIAL GROUP INC - SCHEDULE 13D AMENDMENT NO. 20 Activist Investment SC 13D/A 1 d551081dsc13da.htm SCHEDULE 13D AMENDMENT NO. 20 UNITED STATES SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 20)* MORGAN STANLEY (Name of Issuer) Common Stock, par value $0.01 per Share (Title of Class of Securities) 617446448 (CUSIP Number) Yoshiyuki Uranishi Managing Director Mitsubishi UFJ Financial Group
October 16, 2023	EX-99.29	Seventh Amendment to Investor Agreement EX-99.29 2 d551081dex9929.htm SEVENTH AMENDMENT TO INVESTOR AGREEMENT Exhibit 99.29 Seventh Amendment to Investor Agreement THIS SEVENTH AMENDMENT TO THE INVESTOR AGREEMENT (this “Amendment”), dated as of October 13, 2023, is made by and between Morgan Stanley, a Delaware corporation (the “Company”), and Mitsubishi UFJ Financial Group, Inc., a joint stock company organized under the laws of Japan
August 3, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 Commission File Number 1-11758 (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation or o
August 3, 2023	EX-15	Letter of awareness from Deloitte & Touche LLP, dated EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated August 3, 2023, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended June 30, 2023, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
July 18, 2023	EX-99.1	Quarter Ended Exhibit 99.1 Morgan Stanley Second Quarter 2023 Earnings Results Morgan Stanley Reports Net Revenues of $13.5 Billion, EPS of $1.24 and ROTCE of 12.1% NEW YORK, July 18, 2023 – Morgan Stanley (NYSE: MS) today reported net revenues of $13.5 billion for the second quarter ended June 30, 2023 compared with $13.1 billion a year ago. Net income applicable to Morgan Stanley was $2.2 billion, or $1.24 pe
July 18, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 18, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
July 18, 2023	EX-99.2	13 - 14 Exhibit 99.2 Second Quarter 2023 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.S. Bank Supplemental Financial Information 3 Consolidated Average Common Equity and Regulatory Capital Information 4 Institutional Securities Income Statement Information, Financial Metrics and Ratios
June 30, 2023	EX-99.1	# # # Exhibit 99.1 Morgan Stanley FOR IMMEDIATE RELEASE June 30, 2023 Morgan Stanley Announces 7.5 Cents Dividend Increase and Authorization of a Renewed $20 Billion Multi-Year Common Equity Share Repurchase Program NEW YORK - Morgan Stanley (NYSE: MS) announced that it will increase its quarterly common stock dividend to $0.85 per share from the current $0.775 per share, beginning with the common stock
June 30, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 30, 2023 Morgan Stanley (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 30, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
June 23, 2023	11-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR o TRANSITION REPORT PURSUANT TO SECTION 1
May 22, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 22, 2023 (May 19, 2023) Morga UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 22, 2023 (May 19, 2023) Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission Fi
May 2, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 Commission File Number 1-11758 (Ex UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation or
May 2, 2023	EX-15	Letter of awareness from Deloitte & Touche LLP, dated EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated May 2, 2023, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended March 31, 2023, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
April 19, 2023	EX-99.2	13 - 14 Exhibit 99.2 First Quarter 2023 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.S. Bank Supplemental Financial Information 3 Consolidated Average Common Equity and Regulatory Capital Information 4 Institutional Securities Income Statement Information, Financial Metrics and Ratios
April 19, 2023	EX-99.1	Highlights Exhibit 99.1 Morgan Stanley First Quarter 2023 Earnings Results Morgan Stanley Reports Net Revenues of $14.5 Billion, EPS of $1.70 and ROTCE of 16.9% NEW YORK, April 19, 2023 – Morgan Stanley (NYSE: MS) today reported net revenues of $14.5 billion for the first quarter ended March 31, 2023 compared with $14.8 billion a year ago. Net income applicable to Morgan Stanley was $3.0 billion, or $1.70 pe
April 19, 2023	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 19, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
April 14, 2023	PX14A6G	NOTICE OF EXEMPT SOLICITATION NOTICE OF EXEMPT SOLICITATION Name of the registrant: Morgan Stanley Name of person relying on exemption: New York State Comptroller Thomas P.
April 13, 2023	PX14A6G	United States Securities and Exchange Commission Washington, D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14a-103 Name of the Registrant: Morgan Stanley Name of persons relying on exemption: Sierra Club Foundation Address of persons rely United States Securities and Exchange Commission Washington, D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14a-103 Name of the Registrant: Morgan Stanley Name of persons relying on exemption: Sierra Club Foundation Address of persons relying on exemption: 2101 Webster Street, Suite 1250, Oakland, CA 94612 Written materials are submitted pursuant to Rule 14a-6(g) (1) promulgated under t
April 13, 2023	PX14A6G	NOTICE OF EXEMPT SOLICITATION NOTICE OF EXEMPT SOLICITATION Name of the registrant: Morgan Stanley Name of person relying on exemption: New York State Comptroller Thomas P.
April 6, 2023	DEF 14A	COURTESY PDF Noticeof2023AnnualMeeting andProxyStatementApril6,2023 Dearfellowshareholders, IcordiallyinviteyoutoattendMorganStanley’s2023annualmeetingof shareholdersonFriday,May19,2023,whichwillbeconductedvirtually.
April 6, 2023	DEFA14A	COURTESY PDF Morgan Stanley Compensation & Governance Practices April 20232 • FOR: Four Management Proposals (1) – Approve the compensation of Named Executive Officers (Say on Pay Non-Binding Advisory Vote) • Based on outstanding individual performance and solid financial performance in 2022, total CEO compensation was set at $31.
April 6, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule
April 6, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin
April 6, 2023	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) DEFA14A 1 ny20005681x3defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only
February 24, 2023	EX-10.4	Amendment to Morgan Stanley 401(k) Plan, dated December 1 EXHIBIT 10.4 AMENDMENT TO THE MORGAN STANLEY 401(k) PLAN Morgan Stanley Services Group Inc. (the “Company”), pursuant to authority granted to it by Morgan Stanley Domestic Holdings, Inc., hereby amends the Morgan Stanley 401(k) Plan, effective as of January 1, 2023, unless otherwise stated, as follows: 1.Effective December 1, 2022, Section 2, Definitions, is amended by inserting the following afte
February 24, 2023	EX-10.22	Form of Award Certificate for Long-Term Incentive Program Awards EXHIBIT 10.22 Morgan Stanley Equity Incentive Compensation Plan [YEAR] LONG-TERM INCENTIVE PROGRAM AWARD AWARD CERTIFICATE Table of Contents for Award Certificate 1. Performance stock units generally. 3 2. Performance measures. 3 3. Vesting and conversion. 5 4. Dividend equivalent payments. 7 5. Death, Disability and Full Career Retirement. 8 6. Involuntary termination by the Firm. 10 7. Governmen
February 24, 2023	EX-4.1	Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. EXHIBIT 4.1 DESCRIPTION OF THE SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of February 24, 2023, Morgan Stanley has three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): (1) common stock; (2) eight series of depositary shares representing interests in preferred stock; and (3) two i
February 24, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2022 Commission File Number 1-11758 (Exact name of Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2022 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporati
February 24, 2023	EX-21	Subsidiaries of Morgan Stanley. EXHIBIT 21 Subsidiaries of Morgan Stanley* As of December 31, 2022 * Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Morgan Stanley are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a “significant subsidiary” as that term is defined in Rule 1-02(w) of Regulation S-X under the Securities Exchange Act of 1934.
February 24, 2023	EX-10.18	Morgan Stanley Schedule of Non-Employee Directors Annual Compensation, effective as of November 1, EXHIBIT 10.18 Morgan Stanley Schedule of Non-Employee Directors’ Annual Compensation Effective as of November 1, 2022 retainer(1) Amount Service as a Non-employee Director $100,000 Service as Chair of Audit Committee or Risk Committee $ 40,000 Service as Chair of Compensation, Management Development $ 30,000 and Succession Committee; Governance and Sustainability Committee; or Operations and Techn
February 24, 2023	EX-10.6	Directors’ Equity Capital Accumulation Plan as amended and restated as of November 1, EXHIBIT 10.6 MORGAN STANLEY DIRECTORS’ EQUITY CAPITAL ACCUMULATION PLAN (as amended and restated November 1, 2022) Section 1.Purpose Morgan Stanley, a Delaware corporation (the “Company”), hereby adopts the Morgan Stanley Directors’ Equity Capital Accumulation Plan (the “Plan”). The purpose of the Plan is to promote the long-term growth and financial success of the Company by attracting, motivatin
February 24, 2023	EX-22	Guarantor and Subsidiary Issuer of Registered Guaranteed Securities. EXHIBIT 22 Guarantor and Subsidiary Issuer of Registered Guaranteed Securities Securities Guarantor Morgan Stanley Finance LLC (“MSFL”) issues, from time to time, its Series A senior debt securities under the MSFL Senior Debt Indenture dated February 16, 2016 that are each fully and unconditionally guaranteed by Morgan Stanley.
February 24, 2023	EX-10.8	Exhibit 10.8 EXHIBIT 10.8 MORGAN STANLEY EMPLOYEE STOCK PURCHASE PLAN Amended and restated as of August 1, 2022 SECTION 1 - PURPOSE The purpose of the Plan is to secure for the Company and its stockholders the benefits of the incentive inherent in the ownership of Common Stock by current and future Eligible Employees. The Plan is intended to comply with the provisions of Code Section 423 and shall be administe
February 9, 2023	SC 13G	MELI / Mercadolibre Inc / MORGAN STANLEY - MS INITIAL Passive Investment SC 13G 1 MercadolibreIncMELI.txt MS INITIAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* MERCADOLIBRE INC - (Name of Issuer) Common Stock - (Title of Class of Securities) 58733R102 - (CUSIP Number) December 30, 2022 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box t
February 9, 2023	SC 13G/A	MS / Morgan Stanley / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 5)* Name of issuer: Morgan Stanley Title of Class of Securities: Common Stock CUSIP Number: 617446448 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule
February 9, 2023	SC 13G	FSD / First Trust High Income Long/short Fund / MORGAN STANLEY - MS INITIAL Passive Investment SC 13G 1 FirstTrustHighIncFSD.txt MS INITIAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* FIRST TRUST HIGH INCOME LONG/SHORT FUND - (Name of Issuer) Common Stock - (Title of Class of Securities) 33738E109 - (CUSIP Number) December 30, 2022 - (Date Of Event which Requires Filing of this Statement) Che
February 9, 2023	SC 13G/A	DDOG / Datadog, Inc. Class A / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* Datadog, Inc. - (Name of Issuer) Class A Common Stock - (Title of Class of Securities) 23804L103 - (CUSIP Number) December 30, 2022 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which
January 23, 2023	8-K	Financial Statements and Exhibits, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 20, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
January 23, 2023	EX-3.1	Amended and Restated Bylaws of Morgan Stanley, adopted on January 20, 2023. Exhibit 3.1 As Amended January 20, 2023 Amended And Restated Bylaws Of Morgan Stanley (hereinafter called the “Corporation”) Article 1 Offices and Records Section 1.01. Delaware Office. The registered office of the Corporation in the State of Delaware shall be as set forth in the Certificate of Incorporation (as amended and/or restated, the “Certificate of Incorporation”). Section 1.02. Other Offi
January 20, 2023	8-K	Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 20, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
January 17, 2023	EX-99.2	13 - 14 Exhibit 99.2 Fourth Quarter 2022 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.S. Bank Supplemental Financial Information 3 Consolidated Average Common Equity and Regulatory Capital Information 4 Institutional Securities Income Statement Information, Financial Metrics and Ratios
January 17, 2023	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 17, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
January 17, 2023	EX-99.1	Full Year Highlights Exhibit 99.1 Morgan Stanley Fourth Quarter and Full Year 2022 Earnings Results Morgan Stanley Reports Fourth Quarter Net Revenues of $12.7 Billion, EPS of $1.26 and ROTCE of 12.6%; Full Year Net Revenues of $53.7 Billion, EPS of $6.15 and ROTCE of 15.3% NEW YORK, January 17, 2023 – Morgan Stanley (NYSE: MS) today reported net revenues of $12.7 billion for the fourth quarter ended December 31, 2022
January 17, 2023	EX-99.3	Strategic Update: Driving Growth Through The Next Decade James P. Gorman, Chairman and Chief Executive Officer January 17, 2023 Notice 2 The information provided herein includes certain non-GAAP financial measures. The definition of such measures and Exhibit 99.3 Strategic Update: Driving Growth Through The Next Decade James P. Gorman, Chairman and Chief Executive Officer January 17, 2023 Notice 2 The information provided herein includes certain non-GAAP financial measures. The definition of such measures and/or the reconciliation of such measures to the comparable U.S. GAAP figures are included in this presentation, or in Morgan Stanley's (th
January 9, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 3, 2023 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (
November 3, 2022	EX-15	Letter of awareness from Deloitte & Touche LLP, dated November 3, 2022, concerning unaudited interim financial information. EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated November 3, 2022, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended September 30, 2022, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
November 3, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 Commission File Number 1-11758 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation
October 14, 2022	8-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 14, 2022 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number)
October 14, 2022	EX-99.2	13 - 14 Exhibit 99.2 Third Quarter 2022 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.S. Bank Supplemental Financial Information 3 Consolidated Average Common Equity and Regulatory Capital Information 4 Institutional Securities Income Statement Information, Financial Metrics and Ratios
October 14, 2022	EX-99.1	Quarter Ended Exhibit 99.1 Morgan Stanley Third Quarter 2022 Earnings Results Morgan Stanley Reports Net Revenues of $13.0 Billion, EPS of $1.47 and ROTCE of 14.6% NEW YORK, October 14, 2022 – Morgan Stanley (NYSE: MS) today reported net revenues of $13.0 billion for the third quarter ended September 30, 2022 compared with $14.8 billion a year ago. Net income applicable to Morgan Stanley was $2.6 billion, or $1
August 31, 2022	EX-99.1	IDENTIFICATION OF THE SUBSIDIARY THAT ACQUIRED THE COMMON STOCK OF THE ISSUER EXHIBIT NO. 99.1 TO SCHEDULE 13G IDENTIFICATION OF THE SUBSIDIARY THAT ACQUIRED THE COMMON STOCK OF THE ISSUER The Common Stock is held directly by NHTV Atlanta Holdings LP.
August 31, 2022	EX-99.2	JOINT FILING AGREEMENT EXHIBIT NO. 99.2 TO SCHEDULE 13G JOINT FILING AGREEMENT August 31, 2022 The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to such statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The unders
August 31, 2022	SC 13G	AOMR / Angel Oak Mortgage, Inc. / MORGAN STANLEY - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Angel Oak Mortgage, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 03464Y108 (CUSIP Number) December 31, 2021 (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this
August 23, 2022	SC 13G	NEPT / Neptune Technologies & Bioressources Inc. / MORGAN STANLEY - MS INITIAL Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Neptune Wellness Solutions Inc. - (Name of Issuer) Common Shares - (Title of Class of Securities) 64079L204 - (CUSIP Number) July 13, 2022 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to
August 8, 2022	SC 13D/A	MS / Morgan Stanley / MITSUBISHI UFJ FINANCIAL GROUP INC - SCHEDULE 13D AMENDMENT NO. 19 Activist Investment SCHEDULE 13D Amendment No. 19 UNITED STATES SECURITIES EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 19)* MORGAN STANLEY (Name of Issuer) Common Stock, par value $0.01 per Share (Title of Class of Securities) 617446448 (CUSIP Number) Iichiro Takahashi Managing Director Mitsubishi UFJ Financial Group, Inc. 7-1, Marunouchi 2-chome
August 5, 2022	EX-FILING FEES	Filing Fee Table. EXHIBIT 107 Calculation of Filing Fee Table Form S-8 (Form Type) MORGAN STANLEY (Exact Name of Registrant as Specified in its Charter) Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum aggregate offering price Fee Rate Amount of registration fee Other Deferred Compensation Obligations under the Morgan Stanley Compensation Incentive Plan (1) 457(h) $50,000,000 100% $50,000,000(2) 0.
August 5, 2022	EX-15	Letter of Awareness from Deloitte & Touche LLP. EXHIBIT 15 To the Board of Directors and Shareholders of Morgan Stanley: We are aware that our reports dated May 4, 2022 and August 5, 2022, on our review of interim financial information of Morgan Stanley and subsidiaries (the ?Firm?) appearing in the Firm?s Quarterly Reports on Form 10-Q for the quarters ended March 31, 2022 and June 30, 2022, respectively, are incorporated by reference in this Registration Statement.
August 5, 2022	EX-3.1	Amended and Restated Certificate of Incorporation of Morgan Stanley, as amended to date (Exhibit 3.1 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2022). EXHIBIT 3.1 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF MORGAN STANLEY The present name of the corporation is Morgan Stanley. The corporation was incorporated under the name ?Sears Acquisition Corporation? by the filing of its original Certificate of Incorporation with the Secretary of State of the State of Delaware on October 1, 1981. This Amended and Restated Certificate of Incorporatio
August 5, 2022	EX-15	, concerning unaudited interim financial information. EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated August 5, 2022, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended June 30, 2022, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
August 5, 2022	S-8	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 _____________________ FORM S-8 REGISTRATION STATEMENT THE SECURITIES ACT OF 1933 _____________________ MORGAN STANLEY (Exact name of registrant as specified in its charter) As filed with the Securities and Exchange Commission on August 5, 2022. Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 MORGAN STANLEY (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 36-3145972 (I.R.S. Employer Iden
August 5, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 Commission File Number 1-11758 (Exa UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporation or o
August 2, 2022	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Material Modification to Rights of Security Holders, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 1, 2022 MORGAN STANLEY (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
August 1, 2022	8-A12B	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 MORGAN STANLEY (Exact name of registrant as spe UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 MORGAN STANLEY (Exact name of registrant as specified in its charter) DELAWARE (State of incorporation or organization) 36-3145972 (I.R.S. Employer Identification No.) 1585 Broadway, New York, New
August 1, 2022	EX-2.4	Exhibit 4.24 Exhibit 2.4 MORGAN STANLEY, THE BANK OF NEW YORK MELLON AND THE HOLDERS FROM TIME TO TIME OF THE DEPOSITARY RECEIPTS DESCRIBED HEREIN DEPOSIT AGREEMENT Dated as of August 2, 2022 TABLE OF CONTENTS Page Article 1 Definitions Section 1.01. Definitions 1 Article 2 Form of Receipts, Deposit of Stock, Execution and Delivery, Transfer, Surrender and Redemption of Receipts Section 2.01. Form and Transfer
August 1, 2022	EX-2.5	Form of certificate representing the Series P Preferred Stock. Exhibit 2.5 6.500% NON-CUMULATIVE PREFERRED STOCK, SERIES P ($25,000 LIQUIDATION PREFERENCE) NUMBER SHARES 1 40,000 CUSIP 61762V 846 MORGAN STANLEY INCORPORATED UNDER THE LAWS OF THE STATE OF DELAWARE THIS CERTIFICATE IS TRANSFERABLE IN THE CITY OF NEW YORK, NEW YORK This is to certify that The Bank of New York Mellon, as Depositary under the Deposit Agreement, dated as of August 2, 2022, among Mo
August 1, 2022	EX-2.3	Certificate of Designation of Preferences and Rights of the 6.500% Non-Cumulative Preferred Stock, Series P (previously filed as an exhibit to Morgan Stanley’s Registration Statement on Form 8-A dated August 1, 2022, and incorporated herein by reference) Exhibit 2.3 CERTIFICATE OF DESIGNATION OF PREFERENCES AND RIGHTS OF THE 6.500% NON-CUMULATIVE PREFERRED STOCK, SERIES P (Liquidation Preference $25,000 per share) OF MORGAN STANLEY Pursuant to Section 151 of the General Corporation Law of the State of Delaware Morgan Stanley, a Delaware corporation (hereinafter called the ?Corporation?), DOES HEREBY CERTIFY that, pursuant to resolutions of the Pre
July 22, 2022	8-A12B	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 MORGAN STANLEY (Exact name of registrant as specified in its charter) MORGAN STANLEY FINANCE LLC (Exact name of registrant as specified in its charter) DELAWARE (State of incorporation or organizat
July 14, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 14, 2022 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
July 14, 2022	EX-99.1	Highlights • The Firm reported solid results with net revenues of $13.1 billion demonstrating the strength of our diversified franchise as the businesses navigated a challenging market environment. • The Firm delivered ROTCE of 13.8%, or 14.3% exclud Exhibit 99.1 Morgan Stanley Second Quarter 2022 Earnings Results Morgan Stanley Reports Net Revenues of $13.1 Billion, EPS of $1.39 and ROTCE of 13.8% NEW YORK, July 14, 2022 ? Morgan Stanley (NYSE: MS) today reported net revenues of $13.1 billion for the second quarter ended June 30, 2022 compared with $14.8 billion a year ago. Net income applicable to Morgan Stanley was $2.5 billion, or $1.39 pe
July 14, 2022	EX-99.2	13 - 14 Exhibit 99.2 Second Quarter 2022 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.S. Bank Supplemental Financial Information 3 Consolidated Average Common Equity and Regulatory Capital Information 4 Institutional Securities Income Statement Information, Financial Metrics and Ratios
June 27, 2022	8-K	Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 27, 2022 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (IR
June 27, 2022	EX-99.1	# # # Exhibit 99.1 FOR IMMEDIATE RELEASE Jun 27, 2022 Morgan Stanley Announces 11% Dividend Increase and Authorization of a $20 Billion Multi-Year Common Equity Share Repurchase Program NEW YORK ? Morgan Stanley (NYSE: MS) announced that it will increase its quarterly common stock dividend to $0.775 per share from the current $0.70 per share, beginning with the common dividend expected to be declared by
June 24, 2022	11-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 11-K 1 dp17580211k.htm FORM 11-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 11-K FOR ANNUAL REPORTS OF EMPLOYEE STOCK PURCHASE, SAVINGS AND SIMILAR PLANS PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR ☐ TRANSI
May 27, 2022	8-K	Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 27, 2022 (May 26, 2022) Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission Fi
May 4, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 Commission File Number 1-11758 (Ex Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of
May 4, 2022	EX-15	, concerning unaudited interim financial information. EXHIBIT 15 To the Shareholders and the Board of Directors of Morgan Stanley: We are aware that our report dated May 4, 2022, on our review of the interim financial information of Morgan Stanley appearing in this Quarterly Report on Form 10-Q for the quarter ended March 31, 2022, is incorporated by reference in the following Registration Statements of the Firm: Filed on Form S-3: Registration Statement No.
April 15, 2022	PX14A6G	United States Securities and Exchange Commission Washington, D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14a-103 Name of the Registrant: Morgan Stanley Name of persons relying on exemption: Sierra Club Foundation Address of persons rely United States Securities and Exchange Commission Washington, D.C. 20549 NOTICE OF EXEMPT SOLICITATION Pursuant to Rule 14a-103 Name of the Registrant: Morgan Stanley Name of persons relying on exemption: Sierra Club Foundation Address of persons relying on exemption: 2101 Webster Street, Suite 1250, Oakland, CA 94612 Written materials are submitted pursuant to Rule 14a-6(g) (1) promulgated under t
April 14, 2022	EX-99.1	Quarter Ended Exhibit 99.1 Morgan Stanley First Quarter 2022 Earnings Results Morgan Stanley Reports Net Revenues of $14.8 Billion, EPS of $2.02 and ROTCE of 19.8% NEW YORK, April 14, 2022 ? Morgan Stanley (NYSE: MS) today reported net revenues of $14.8 billion for the first quarter ended March 31, 2022 compared with $15.7 billion a year ago. Net income applicable to Morgan Stanley was $3.7 billion, or $2.02 pe
April 14, 2022	EX-99.2	13 - 14 EX-99.2 3 a52683164ex992.htm EXHIBIT 99.2 Exhibit 99.2 First Quarter 2022 Earnings Results Quarterly Financial Supplement Page Consolidated Financial Summary 1 Consolidated Financial Metrics, Ratios and Statistical Data 2 Consolidated and U.S. Bank Supplemental Financial Information 3 Consolidated Average Common Equity and Regulatory Capital Information 4 Institutional Securities Income Statement
April 14, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant To Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 14, 2022 Morgan Stanley (Exact Name of Registrant as Specified in Charter) Delaware 1-11758 36-3145972 (State or Other Jurisdiction of Incorporation) (Commission File Number) (I
April 12, 2022	PX14A6G	NOTICE OF EXEMPT SOLICITATION PX14A6G 1 p411224px14a6g.htm NOTICE OF EXEMPT SOLICITATION Name of the registrant: Morgan Stanley Name of person relying on exemption: New York State Comptroller Thomas P. DiNapoli, Trustee of the New York State Common Retirement Fund Address of person relying on exemption: Office of the New York State Comptroller Division of Legal Services 110 State Street, 14th Floor Albany, NY 12236 Written mat
April 8, 2022	DEF 14A	COURTESY PDF
April 8, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 DEFA14A 1 ny20000909x3defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by
April 8, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 DEF 14A 1 ny20000909x1def14a.htm DEF 14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission On
April 8, 2022	DEFA14A	COURTESY COPY
April 8, 2022	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 DEFA14A 1 ny20000909x2defa14a.htm DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted
February 24, 2022	EX-10.4	Exhibit 10.4 EX-10.4 5 exhibit104q4202110-k.htm EX-10.4 EXHIBIT 10.4 EXHIBIT A AMENDMENT TO THE MORGAN STANLEY 401(k) PLAN Morgan Stanley Services Group Inc. (the “Company”) hereby amends the Morgan Stanley 401(k) Plan, effective as of January 1, 2022, unless otherwise stated, as follows: 1.Section 5(a)(i), Pre-Tax Contributions, of the Plan is amended to add the following language to the end thereof as follow
February 24, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2021 Commission File Number 1-11758 (Exact name of Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the year ended December 31, 2021 Commission File Number 1-11758 (Exact name of Registrant as specified in its charter) Delaware 1585 Broadway 36-3145972 (212) 761-4000 (State or other jurisdiction of incorporati
February 24, 2022	EX-4.1	Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. EXHIBIT 4.1 DESCRIPTION OF THE SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 As of February 24, 2022, Morgan Stanley has three classes of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): (1) common stock; (2) seven series of depositary shares representing interests in preferred stock; and (3) Globa
February 24, 2022	EX-21	Subsidiaries of Morgan Stanley. EX-21 6 exhibit21q4202110-k.htm EX-21 EXHIBIT 21 Subsidiaries of Morgan Stanley* As of December 31, 2021 * Pursuant to Item 601(b)(21)(ii) of Regulation S-K, the names of certain other subsidiaries of Morgan Stanley are omitted because, considered in the aggregate as a single subsidiary, they would not constitute a “significant subsidiary” as that term is defined in Rule 1-02(w) of Regulation S-X
February 24, 2022	EX-4.4	Eleventh Supplemental Senior Indenture dated as of March 24, 2021 to the Senior Indenture dated as of November 1, 2004 between Morgan Stanley and The Bank of New York Mellon, Trustee (previously filed as an exhibit to Morgan Stanley’s Annual Report on Form 10-K for the year ended December 31, 2021, and incorporated herein by reference). EXHIBIT 4.4 ELEVENTH SUPPLEMENTAL SENIOR INDENTURE BETWEEN MORGAN STANLEY AND THE BANK OF NEW YORK MELLON as successor to JPMorgan Chase Bank, N.A. (formerly known as JPMorgan Chase Bank), Trustee Dated as of March 24, 2021 SUPPLEMENTAL TO SENIOR INDENTURE DATED AS OF NOVEMBER 1, 2004 THIS ELEVENTH SUPPLEMENTAL SENIOR INDENTURE dated as of March 24, 2021 (the “Eleventh Supplemental Senior Indentur

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