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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/27/18 Morgan Stanley 10-K 12/31/17 189:50M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 3.67M
2: EX-3.1 Articles of Incorporation/Organization or Bylaws HTML 840K
5: EX-10.33 Material Contract HTML 140K
6: EX-10.34 Material Contract HTML 130K
7: EX-10.35 Material Contract HTML 164K
3: EX-10.4 Material Contract HTML 65K
4: EX-10.5 Material Contract HTML 52K
9: EX-21 Subsidiaries List HTML 59K
10: EX-23.1 Consent of Experts or Counsel HTML 60K
8: EX-12 Statement re: Computation of Ratios HTML 68K
11: EX-31.1 Certification -- §302 - SOA'02 HTML 56K
12: EX-31.2 Certification -- §302 - SOA'02 HTML 56K
13: EX-32.1 Certification -- §906 - SOA'02 HTML 51K
14: EX-32.2 Certification -- §906 - SOA'02 HTML 51K
21: R1 Document and Entity Information HTML 81K
22: R2 Consolidated Income Statements HTML 164K
23: R3 Consolidated Comprehensive Income Statements HTML 81K
24: R4 Consolidated Balance Sheets HTML 150K
25: R5 Consolidated Balance Sheets (Parenthetical) HTML 84K
26: R6 Consolidated Statements of Changes in Total Equity HTML 118K
27: R7 Consolidated Cash Flow Statements HTML 179K
28: R8 Introduction and Basis of Presentation HTML 73K
29: R9 Significant Accounting Policies HTML 186K
30: R10 Fair Value Disclosures HTML 1.33M
31: R11 Derivative Instruments and Hedging Activities HTML 580K
32: R12 Investment Securities HTML 505K
33: R13 Collateralized Transactions HTML 281K
34: R14 Loans and Allowance for Credit Losses HTML 410K
35: R15 Equity Method Investments HTML 70K
36: R16 Goodwill and Intangible Assets HTML 150K
37: R17 Deposits HTML 75K
38: R18 Borrowings and Other Secured Financings HTML 217K
39: R19 Commitments, Guarantees and Contingencies HTML 294K
40: R20 Variable Interest Entities and Securitization HTML 390K
Activities
41: R21 Regulatory Requirements HTML 190K
42: R22 Total Equity HTML 340K
43: R23 Earnings per Common Share HTML 131K
44: R24 Interest Income and Interest Expense HTML 89K
45: R25 Deferred Compensation Plans HTML 182K
46: R26 Employee Benefit Plans HTML 456K
47: R27 Income Taxes HTML 235K
48: R28 Segment and Geographic Information HTML 298K
49: R29 Parent Company HTML 276K
50: R30 Quarterly Results HTML 231K
51: R31 Subsequent Events HTML 55K
52: R32 Significant Accounting Policies (Policy) HTML 235K
53: R33 Significant Accounting Policies (Tables) HTML 58K
54: R34 Fair Value Disclosures (Tables) HTML 1.26M
55: R35 Derivative Instruments and Hedging Activities HTML 578K
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56: R36 Investment Securities (Tables) HTML 509K
57: R37 Collateralized Transactions (Tables) HTML 282K
58: R38 Loans and Allowance for Credit Losses (Tables) HTML 405K
59: R39 Equity Method Investments (Tables) HTML 67K
60: R40 Goodwill and Intangible Assets (Tables) HTML 152K
61: R41 Deposits (Tables) HTML 75K
62: R42 Borrowings and Other Secured Financings (Tables) HTML 212K
63: R43 Commitments, Guarantees and Contingencies (Tables) HTML 229K
64: R44 Variable Interest Entities and Securitization HTML 363K
Activities (Tables)
65: R45 Regulatory Requirements (Tables) HTML 175K
66: R46 Total Equity (Tables) HTML 342K
67: R47 Earnings per Common Share (Tables) HTML 131K
68: R48 Interest Income and Interest Expense (Tables) HTML 87K
69: R49 Deferred Compensation Plans (Tables) HTML 197K
70: R50 Employee Benefit Plans (Tables) HTML 456K
71: R51 Income Taxes (Tables) HTML 236K
72: R52 Segment and Geographic Information (Tables) HTML 303K
73: R53 Parent Company (Tables) HTML 384K
74: R54 Quarterly Results (Tables) HTML 230K
75: R55 Introduction and Basis of Presentation (Details) HTML 55K
76: R56 Significant Accounting Policies (Details) HTML 98K
77: R57 Fair Value Disclosures (Assets and Liabilities HTML 237K
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78: R58 Fair Value Disclosures (Rollforward of Level 3 HTML 203K
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79: R59 Fair Value Disclosures (Valuation Techniques and HTML 289K
Sensitivity of Unobservable Inputs Used in
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80: R60 Fair Value Disclosures (Fair Value of Investments HTML 75K
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81: R61 Fair Value Disclosures (Earnings Impact of HTML 75K
Instruments under the Fair Value Option) (Details)
82: R62 Fair Value Disclosures (Gains (Losses) Due to HTML 72K
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83: R63 Fair Value Disclosures (Borrowings Measured at HTML 67K
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84: R64 Fair Value Disclosures (Excess of Contractual HTML 58K
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85: R65 Fair Value Disclosures (Fair Value of Loans in HTML 56K
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86: R66 Fair Value Disclosures (Assets Measured at Fair HTML 93K
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87: R67 Fair Value Disclosures (Financial Instruments Not HTML 140K
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88: R68 Derivative Instruments and Hedging Activities HTML 221K
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89: R69 Derivative Instruments and Hedging Activities HTML 121K
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90: R70 Derivative Instruments and Hedging Activities HTML 91K
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91: R71 Derivative Instruments and Hedging Activities HTML 66K
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92: R72 Derivative Instruments and Hedging Activities HTML 133K
(Credit Derivatives and Other Credit Contracts)
(Details)
93: R73 Investment Securities (AFS and HTM Securities) HTML 151K
(Details)
94: R74 Investment Securities (Investment Securities in an HTML 169K
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95: R75 Investment Securities (Investment Securities by HTML 219K
Contractual Maturity) (Details)
96: R76 Investment Securities (Gross Realized Gains and HTML 59K
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97: R77 Collateralized Transactions (Offsetting of Certain HTML 128K
Collateralized Transactions) (Details)
98: R78 Collateralized Transactions (Gross Secured HTML 98K
Financing Balances) (Details)
99: R79 Collateralized Transactions (Assets Pledged) HTML 58K
(Details)
100: R80 Collateralized Transactions (Collateral Received) HTML 56K
(Details)
101: R81 Collateralized Transactions (Concentration Risk) HTML 61K
(Details)
102: R82 Collateralized Transactions (Customer Margin HTML 53K
Lending and Other) (Details)
103: R83 Collateralized Transactions (Restricted Cash and HTML 59K
Segregated Securities) (Details)
104: R84 Loans and Allowance for Credit Losses (Loans Held HTML 140K
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105: R85 Loans and Allowance for Credit Losses (Impaired HTML 82K
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106: R86 Loans and Allowance for Credit Losses (Tdr) HTML 57K
(Details)
107: R87 Loans and Allowance for Credit Losses (Allowance HTML 121K
for Loan Losses and Lending Commitments
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108: R88 Loans and Allowance for Credit Losses (Employee HTML 63K
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109: R89 Equity Method Investments (Equity Method HTML 61K
Investment Balances) (Details)
110: R90 Equity Method Investments (Investees) (Details) HTML 67K
111: R91 Goodwill and Intangible Assets (Goodwill HTML 72K
Rollforward) (Details)
112: R92 Goodwill and Intangible Assets (Intangible Assets HTML 67K
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113: R93 Goodwill and Intangible Assets (Gross Amortizable HTML 82K
Intangible Assets by Type) (Details)
114: R94 Goodwill and Intangible Assets (Net Amortizable HTML 74K
Intangible Assets Rollforward) (Details)
115: R95 Deposits (Details) HTML 77K
116: R96 Borrowings and Other Secured Financings HTML 108K
(Maturities and Terms of Borrowings) (Details)
117: R97 Borrowings and Other Secured Financings HTML 65K
(Borrowings Associated with Fair Value Hedges)
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118: R98 Borrowings and Other Secured Financings (Long-Term HTML 73K
Borrowings) (Details)
119: R99 Borrowings and Other Secured Financings (Rates for HTML 55K
Long-Term Borrowings) (Details)
120: R100 Borrowings and Other Secured Financings (Other HTML 59K
Secured Financings) (Details)
121: R101 Borrowings and Other Secured Financings HTML 95K
(Maturities and Terms of Secured Financings)
(Details)
122: R102 Borrowings and Other Secured Financings (Failed HTML 68K
Sales by Maturity) (Details)
123: R103 Commitments, Guarantees and Contingencies HTML 92K
(Commitments) (Details)
124: R104 Commitments, Guarantees and Contingencies (Future HTML 78K
Minimum Rental Commitments) (Details)
125: R105 Commitments, Guarantees and Contingencies HTML 124K
(Obligations under Guarantee Arrangements)
(Details)
126: R106 Commitments, Guarantees and Contingencies HTML 59K
(Securitization Representations and Warranties)
(Details)
127: R107 Commitments, Guarantees and Contingencies HTML 138K
(Contingencies) (Details)
128: R108 Variable Interest Entities and Securitization HTML 66K
Activities (Consolidated VIEs) (Details)
129: R109 Variable Interest Entities and Securitization HTML 92K
Activities (Assets and Liabilities by Balance
Sheet Caption) (Details)
130: R110 Variable Interest Entities and Securitization HTML 115K
Activities (Non-Consolidated VIEs) (Details)
131: R111 Variable Interest Entities and Securitization HTML 99K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
132: R112 Variable Interest Entities and Securitization HTML 84K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
133: R113 Variable Interest Entities and Securitization HTML 64K
Activities (Proceeds from New Securitization
Transactions and Sales of Loans) (Details)
134: R114 Variable Interest Entities and Securitization HTML 67K
Activities (Assets Sold with Retained Exposure)
(Details)
135: R115 Variable Interest Entities and Securitization HTML 56K
Activities (Failed Sales) (Details)
136: R116 Regulatory Requirements (Narrative) (Details) HTML 58K
137: R117 Regulatory Requirements (Capital Measures) HTML 95K
(Details)
138: R118 Regulatory Requirements (U.S. Bank Subsidiaries' HTML 100K
Regulatory Capital and Capital Ratios) (Details)
139: R119 Regulatory Requirements (Broker-Dealer Regulatory HTML 61K
Capital Requirements) (Details)
140: R120 Regulatory Requirements (Restricted Net Assets) HTML 53K
(Details)
141: R121 Total Equity (Rollforward of Common Stock HTML 61K
Outstanding) (Details)
142: R122 Total Equity (Dividends and Share Repurchases) HTML 75K
(Details)
143: R123 Total Equity (Preferred Stock General Disclosure) HTML 80K
(Details)
144: R124 Total Equity (Preferred Stock Outstanding) HTML 97K
(Details)
145: R125 Total Equity (Preferred Stock Issuance HTML 107K
Description) (Details)
146: R126 Total Equity (Aoci) (Details) HTML 77K
147: R127 Total Equity (Period Changes in OCI Components) HTML 192K
(Details)
148: R128 Total Equity (Cumulative Foreign Currency HTML 62K
Translation Adjustments) (Details)
149: R129 Earnings per Common Share (Calculation of Basic HTML 125K
and Diluted EPS) (Details)
150: R130 Interest Income and Interest Expense (Details) HTML 86K
151: R131 Deferred Compensation Plans (Stock-based HTML 80K
Compensation Plans) (Details)
152: R132 Deferred Compensation Plans (Vested and Unvested HTML 81K
RSU Activity) (Details)
153: R133 Deferred Compensation Plans (Unvested RSU HTML 82K
Activity) (Details)
154: R134 Deferred Compensation Plans (Performance-Based HTML 89K
Stock Units) (Details)
155: R135 Deferred Compensation Plans (Deferred Cash-based HTML 72K
Compensation Plans) (Details)
156: R136 Deferred Compensation Plans (Annual Compensation HTML 79K
Cost for 2017 Performance Year Awards) (Details)
157: R137 Employee Benefit Plans (Net Periodic Benefit HTML 107K
Expense (Income)) (Details)
158: R138 Employee Benefit Plans (Rollforward of the Benefit HTML 117K
Obligation and Fair Value of Plan Assets)
(Details)
159: R139 Employee Benefit Plans (Aoci) (Details) HTML 72K
160: R140 Employee Benefit Plans (Pension Plans with HTML 62K
Projected Benefit Obligations in Excess of Fair
Value of Plan Assets) (Details)
161: R141 Employee Benefit Plans (Assumptions) (Details) HTML 74K
162: R142 Employee Benefit Plans (Fair Value of Plan Assets HTML 146K
and Liabilities) (Details)
163: R143 Employee Benefit Plans (Rollforward of Level 3 HTML 62K
Plan Assets) (Details)
164: R144 Employee Benefit Plans (Funds Measured at NAV per HTML 67K
Share) (Details)
165: R145 Employee Benefit Plans (Expected Future Benefit HTML 72K
Payments) (Details)
166: R146 Employee Benefit Plans (401(k) and Defined HTML 66K
Contribution Pension Plans) (Details)
167: R147 Income Taxes (Provision for (Benefit from) Income HTML 132K
Taxes) (Details)
168: R148 Income Taxes (Effective Income Tax Rate) (Details) HTML 95K
169: R149 Income Taxes (Deferred Tax Assets and Liabilities) HTML 88K
(Details)
170: R150 Income Taxes (Unrecognized Tax Benefits) (Details) HTML 74K
171: R151 Income Taxes (Earliest Tax Year Subject to HTML 62K
Examination in Major Tax Jurisdictions) (Details)
172: R152 Income Taxes (Income from Continuing Operations HTML 59K
Before Income Tax Expense (Benefit)) (Details)
173: R153 Segment and Geographic Information (Selected HTML 139K
Financial Information by Business Segment)
(Details)
174: R154 Segment and Geographic Information (Net Unrealized HTML 53K
Performance-based Fees) (Details)
175: R155 Segment and Geographic Information (Net Discrete HTML 83K
Tax Provision (Benefit) by Segment) (Details)
176: R156 Segment and Geographic Information (Assets by HTML 60K
Business Segment) (Details)
177: R157 Segment and Geographic Information (Net Revenues HTML 65K
by Region) (Details)
178: R158 Segment and Geographic Information (Total Assets HTML 60K
by Region) (Details)
179: R159 Parent Company (Condensed Income Statements and HTML 131K
Comprehensive Income Statements) (Details)
180: R160 Parent Company (Condensed Balance Sheets) HTML 145K
(Details)
181: R161 Parent Company (Condensed Cash Flow Statements) HTML 165K
(Details)
182: R162 Parent Company (Long-Term Borrowings) (Details) HTML 63K
183: R163 Parent Company (Guarantees) (Details) HTML 58K
184: R164 Quarterly Results (Unaudited) (Details) HTML 129K
185: R165 Quarterly Results (Unaudited) (Subnote) (Details) HTML 65K
186: R166 Quarterly Results (Unaudited) (Employee HTML 54K
Share-Based Awards) (Details)
188: XML IDEA XML File -- Filing Summary XML 378K
187: EXCEL IDEA Workbook of Financial Reports XLSX 321K
15: EX-101.INS XBRL Instance -- ms-20171231 XML 20.13M
17: EX-101.CAL XBRL Calculations -- ms-20171231_cal XML 676K
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189: ZIP XBRL Zipped Folder -- 0001193125-18-060831-xbrl Zip 1.21M
| EX-10.4 |
EXHIBIT 10.4
AMENDMENT TO THE
MORGAN STANLEY 401(k) PLAN
Morgan Stanley Services Group Inc. (the “Company”) hereby amends the Morgan Stanley 401(k) Plan (the “401(k) Plan”) as follows:
| 1. | Effective October 8, 2017, Section 2, Definitions, is amended by adding a new definition in appropriate alphabetical order as follows: |
“ ‘Qualified California Wildfires Distribution’ means a distribution for any hardship as permitted under Announcement 2017-15, made on or after October 8, 2017 and no later than March 15, 2018, to a Participant whose (a) principal residence on October 8, 2017 was located in one of the California areas identified as eligible for individual assistance by the Federal Emergency Management Agency (“FEMA”) caused by Hurricane Harvey, (b) place of employment was located in such areas on October 8, 2017, or (c) lineal ascendant or descendant, dependent or spouse had a principal residence or place of employment in such areas on October 8, 2017.”
| 2. | Effective September 21, 2017, Section 2, Definitions, is amended by adding a new definition in appropriate alphabetical order as follows: |
“ ‘Qualified 2017 Hurricane Distribution’ means any distribution from the Plan made (a) on or after August 23, 2017 and before January 1, 2019, to an individual whose principal place of abode on August 23, 2017 is located in the Hurricane Harvey disaster area and who has sustained an economic loss by reason of Hurricane Harvey; (b) on or after September 4, 2017 and before January 1, 2019, to an individual whose principal place of abode on September 4, 2017 is located in the Hurricane Irma disaster area and who has sustained an economic loss by reason of Hurricane Irma; or (c) on or after September 16, 2017 and before January 1, 2019, to an individual whose principal place of abode on September 16, 2017 is located in the Hurricane Maria disaster area and who has sustained an economic loss by reason of Hurricane Maria.
For purposes of a Qualified Hurricane Distribution, the Hurricane Harvey disaster area shall mean the area to which a major disaster has been declared by the President before September 21, 2017 by reason of Hurricane Harvey, the Hurricane Irma disaster area shall mean the area to which a major disaster has been declared by the President before September 21, 2017 by reason of Hurricane Irma, and the Hurricane Maria disaster area shall mean the area to which a major disaster has been declared by the President before September 21, 2017 by reason of Hurricane Maria.
A Qualified Hurricane Distribution is limited to a maximum of $100,000 and shall be subject to such other conditions and limitations as may be provided by statute or in other applicable guidance or as may be determined by the Plan Administrator on a nondiscriminatory basis.”
| 3. | Effective August 23, 2017, Section 2, Definitions, is further amended by adding a new definition in appropriate alphabetical order as follows: |
“ ‘Qualified Hurricane Harvey Distribution’ means a distribution for any hardship as permitted under Announcement 2017-11, made on or after August 23, 2017 and no later than January 31, 2018, to a Participant whose (a) principal residence on August 23, 2017 was located in one of the Texas counties identified as eligible for individual assistance by the Federal Emergency Management Agency (“FEMA”) caused by Hurricane Harvey, (b) place of employment was located in such counties on August 23, 2017, or (c) lineal ascendant or descendant, dependent or spouse had a principal residence or place of employment in such counties on August 23, 2017.”
| 4. | Effective September 4, 2017, Section 2, Definitions, is further amended by adding a new definition in appropriate alphabetical order as follows: |
“ ‘Qualified Hurricane Irma Distribution’ means a distribution for any hardship as permitted under Announcement 2017-13, made on or after September 4, 2017 and no later than January 31, 2018, to a Participant whose (a) principal residence on September 4, 2017 was located in one of the counties identified as eligible for individual assistance by FEMA caused by Hurricane Irma, (b) place of employment was located in such counties on September 4, 2017, or (c) lineal ascendant or descendant, dependent or spouse had a principal residence or place of employment in such counties on September 4, 2017.”
| 5. | Effective September 16, 2017, Section 2, Definitions, is further amended by adding a new definition in appropriate alphabetical order as follows: |
“ ‘Qualified Hurricane Maria Distribution’ means a distribution for any hardship as permitted under Announcement 2017-15, made (a) on or after September 16, 2017 for a Participant in the United States Virgin Islands or on or after September 17, 2017 for a Participant in Puerto Rico and (b) no later than March 15, 2018, to a Participant whose (1) principal residence on (I) September 16, 2017 was located on the islands of St. Thomas, St. John or St. Croix in the United States Virgin Islands, or (II) September 17, 2017 was located in one of the municipalities or Puerto Rico identified as eligible for individual assistance by FEMA caused by Hurricane Maria, (2) place of employment was located on such islands or in such municipalities on such dates, or (3) lineal ascendant or descendant, dependent or spouse had a principal residence or place of employment on such islands or in such municipalities on such dates.”
| 6. | Effective January 1, 2018, Section 3(a), Commencement of Participation, is amended by inserting the following immediately before the last sentence of subparagraph (ii) thereof: |
“Notwithstanding the foregoing, effective January 1, 2018, any Part-time Employee who is not regularly scheduled to work at least one half of the standard work week at his or her Business Unit, as determined by the Plan Administrator, may elect to become a participant on any Entry Date coincident with the later of (A) his or her Employment Commencement Date or (B) January 1, 2018, without regard to his or her age.”
| 7. | Effective August 23, 2017, Section 12(f), Hardship Distributions, is amended by inserting the phrase “, a Qualified Hurricane Harvey Distribution” immediately following the phrase “a Qualified Hurricane Sandy Distribution” in subparagraph (v)(7). |
| 8. | Effective September 4, 2017, Section 12(f), Hardship Distributions, is amended by inserting the phrase “, a Qualified Hurricane Irma Distribution” immediately following the phrase “a Qualified Hurricane Harvey Distribution” in subparagraph (v)(7). |
| 9. | Effective September 16, 2017, Section 12(f), Hardship Distributions, is amended by inserting the phrase “, a Qualified Hurricane Maria Distribution” immediately following the phrase “a Qualified Hurricane Irma Distribution” in subparagraph (v)(7). |
| 10. | Effective September 21, 2017, Section 12(f), Hardship Distributions, is amended by deleting the word “or” immediately preceding the phrase “Qualified Disaster Recovery Assistance Distribution” and inserting the phrase “or a Qualified Hurricane Distribution” at the end thereof. |
| 11. | Effective October 8, 2017, Section 12(f), Hardship Distributions, is amended by inserting the phrase “a Qualified California Wildfire Distribution” immediately following the phrase “a Qualified Hurricane Maria Distribution” in subparagraph (v)(7). |
| 12. | Effective July 21, 2017, Section 12(g), Loans, of the 401(k) Plan is amended by adding the following to the end of subsection (v), Loan Repayment Terms: |
“Notwithstanding anything herein to the contrary, effective July 21, 2017, a Participant who is an active Employee or an Employee on a leave of absence with pay with an outstanding loan balance may make partial prepayments of his or her outstanding loan balance in accordance with such procedures and requirements as the Plan Administrator shall adopt. Participants who are not actively employed, such as a terminated Participant or a Participant on an unpaid leave of absence
will not be permitted to make partial prepayments of any outstanding loan balance.”
* * * * * * * * *
IN WITNESS WHEREOF, the Company has caused this Amendment to be executed on its behalf as of this 12th day of December, 2017.
| MORGAN STANLEY SERVICES GROUP INC.
| ||
| By: | /s/ Jeffrey Brodsky | |
| Title: | Chief Human Resources Officer | |
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 1/1/19 | ||||
| 3/15/18 | 424B2, FWP | |||
| Filed on: | 2/27/18 | 4, 424B2 | ||
| 1/31/18 | 424B2, 8-K, FWP, SC 13G | |||
| 1/1/18 | 3 | |||
| For Period end: | 12/31/17 | 11-K, 13F-HR, 13F-HR/A | ||
| 10/8/17 | ||||
| 9/21/17 | 424B2, FWP | |||
| 9/17/17 | ||||
| 9/16/17 | ||||
| 9/4/17 | ||||
| 8/23/17 | FWP | |||
| 7/21/17 | 4, 424B2, FWP | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/26/24 Morgan Stanley POS AM 5:1M Davis Polk & … LLP 01/FA 2/22/24 Morgan Stanley POSASR 2/22/24 6:1M Davis Polk & … LLP 01/FA 11/16/23 Morgan Stanley S-3ASR 11/16/23 27:5.2M Davis Polk & … LLP 01/FA 2/24/23 Morgan Stanley 10-K 12/31/22 227:50M 2/24/22 Morgan Stanley 10-K 12/31/21 225:51M 10/22/21 Morgan Stanley 8-A12B 4:271K Davis Polk & … LLP 01/FA 2/26/21 Morgan Stanley 10-K 12/31/20 225:50M 11/16/20 Morgan Stanley S-3ASR 11/16/20 23:4.8M Davis Polk & … LLP 01/FA |