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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/27/17 Morgan Stanley 10-K 12/31/16 174:51M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 3.74M
2: EX-3.1 Articles of Incorporation/Organization or Bylaws HTML 833K
3: EX-10.4 Material Contract HTML 49K
4: EX-10.41 Material Contract HTML 91K
6: EX-21 Subsidiaries List HTML 55K
7: EX-23.1 Consent of Experts or Counsel HTML 57K
5: EX-12 Statement re: Computation of Ratios HTML 69K
8: EX-31.1 Certification -- §302 - SOA'02 HTML 53K
9: EX-31.2 Certification -- §302 - SOA'02 HTML 53K
10: EX-32.1 Certification -- §906 - SOA'02 HTML 48K
11: EX-32.2 Certification -- §906 - SOA'02 HTML 48K
18: R1 Document and Entity Information HTML 77K
19: R2 Consolidated Income Statements HTML 164K
20: R3 Consolidated Comprehensive Income Statements HTML 77K
21: R4 Consolidated Balance Sheets HTML 150K
22: R5 Consolidated Balance Sheets (Parenthetical) HTML 83K
23: R6 Consolidated Statements of Changes in Total Equity HTML 109K
24: R7 Consolidated Statements of Cash Flows HTML 183K
25: R8 Introduction and Basis of Presentation HTML 73K
26: R9 Significant Accounting Policies HTML 173K
27: R10 Fair Value Disclosures HTML 1.79M
28: R11 Derivative Instruments and Hedging Activities HTML 701K
29: R12 Investment Securities HTML 484K
30: R13 Collateralized Transactions HTML 265K
31: R14 Loans and Allowance for Credit Losses HTML 425K
32: R15 Equity Method Investments HTML 77K
33: R16 Goodwill and Intangible Assets HTML 151K
34: R17 Deposits HTML 66K
35: R18 Borrowings and Other Secured Financings HTML 194K
36: R19 Commitments, Guarantees and Contingencies HTML 260K
37: R20 Variable Interest Entities and Securitization HTML 385K
Activities
38: R21 Regulatory Requirements HTML 174K
39: R22 Total Equity HTML 318K
40: R23 Earnings Per Common Share HTML 127K
41: R24 Interest Income and Interest Expense HTML 95K
42: R25 Deferred Compensation Plans HTML 174K
43: R26 Employee Benefit Plans HTML 456K
44: R27 Income Taxes HTML 199K
45: R28 Segment and Geographic Information HTML 213K
46: R29 Parent Company HTML 259K
47: R30 Quarterly Results HTML 179K
48: R31 Subsequent Events HTML 51K
49: R32 Significant Accounting Policies (Policy) HTML 220K
50: R33 Fair Value Disclosures (Tables) HTML 1.57M
51: R34 Derivative Instruments and Hedging Activities HTML 691K
(Tables)
52: R35 Investment Securities (Tables) HTML 485K
53: R36 Collateralized Transactions (Tables) HTML 248K
54: R37 Loans and Allowance for Credit Losses (Tables) HTML 414K
55: R38 Equity Method Investments (Tables) HTML 66K
56: R39 Goodwill and Intangible Assets (Tables) HTML 151K
57: R40 Deposits (Tables) HTML 62K
58: R41 Borrowings and Other Secured Financings (Tables) HTML 180K
59: R42 Commitments, Guarantees and Contingencies (Tables) HTML 180K
60: R43 Variable Interest Entities and Securitization HTML 354K
Activities (Tables)
61: R44 Regulatory Requirements (Tables) HTML 149K
62: R45 Total Equity (Tables) HTML 301K
63: R46 Earnings Per Common Share (Tables) HTML 125K
64: R47 Interest Income and Interest Expense (Tables) HTML 94K
65: R48 Deferred Compensation Plans (Tables) HTML 163K
66: R49 Employee Benefit Plans (Tables) HTML 447K
67: R50 Income Taxes (Tables) HTML 190K
68: R51 Segment and Geographic Information (Tables) HTML 212K
69: R52 Parent Company (Tables) HTML 251K
70: R53 Quarterly Results (Tables) HTML 178K
71: R54 Introduction and Basis of Presentation (Details) HTML 66K
72: R55 Significant Accounting Policies (Details) HTML 93K
73: R56 Fair Value Disclosures (Assets and Liabilities HTML 317K
Measured at Fair Value on a Recurring Basis)
(Details)
74: R57 Fair Value Disclosures (Changes in Level 3 Assets HTML 277K
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
75: R58 Fair Value Disclosures (Valuation Techniques and HTML 318K
Sensitivity of Unobservable Inputs Used in
Recurring Level 3 Fair Value Measurements)
(Details)
76: R59 Fair Value Disclosures (Fair Value of Investments HTML 84K
Measured at NAV) (Details)
77: R60 Fair Value Disclosures (Earnings Impact of HTML 76K
Instruments Under to the Fair Value Option)
(Details)
78: R61 Fair Value Disclosures (Gains (Losses) Due to HTML 65K
Changes in Instrument-Specific Credit Risk)
(Details)
79: R62 Fair Value Disclosures (Net Difference of HTML 54K
Contractual Principal Amount Over Fair Value)
(Details)
80: R63 Fair Value Disclosures (Short-term and Long-term HTML 62K
Borrowings Measured at Fair Value) (Details)
81: R64 Fair Value Disclosures (Fair Value of Loans in HTML 52K
Nonaccrual Status) (Details)
82: R65 Fair Value Disclosures (Assets Measured at Fair HTML 127K
Value on a Non-Recurring Basis) (Details)
83: R66 Fair Value Disclosures (Financial Instruments Not HTML 150K
Measured at Fair Value) (Details)
84: R67 Derivative Instruments and Hedging Activities HTML 256K
(Derivative Assets and Liabilities) (Details)
85: R68 Derivative Instruments and Hedging Activities HTML 89K
(Gains (Losses) on Fair Value Hedges and on
Effective Portion of Net Investment Hedges, and
Trading Revenues) (Details)
86: R69 Derivative Instruments and Hedging Activities HTML 85K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
87: R70 Derivative Instruments and Hedging Activities HTML 62K
(Credit Risk-Related Contingencies) (Details)
88: R71 Derivative Instruments and Hedging Activities HTML 130K
(Credit Derivatives and Other Credit Contracts)
(Details)
89: R72 Investment Securities (AFS and HTM Securities) HTML 151K
(Details)
90: R73 Investment Securities (Investment Securities in an HTML 156K
Unrealized Loss Position) (Details)
91: R74 Investment Securities (Investment Securities by HTML 224K
Contractual Maturity) (Details)
92: R75 Investment Securities (Gross Realized Gains and HTML 55K
Losses on Sales of AFS Securities) (Details)
93: R76 Collateralized Transactions (Narrative) (Details) HTML 67K
94: R77 Collateralized Transactions (Offsetting of Certain HTML 124K
Collateralized Transactions) (Details)
95: R78 Collateralized Transactions (Gross Secured HTML 96K
Financing Balances) (Details)
96: R79 Collateralized Transactions (Cash and Securities HTML 54K
Deposited with Clearing Organizations or
Segregated) (Details)
97: R80 Loans and Allowance for Credit Losses (Loans Held HTML 131K
for Investment and Held for Sale) (Details)
98: R81 Loans and Allowance for Credit Losses (Impaired HTML 93K
Loans) (Details)
99: R82 Loans and Allowance for Credit Losses (Loans and HTML 140K
Lending Commitments) (Details)
100: R83 Loans and Allowance for Credit Losses (Employee HTML 59K
Loans) (Details)
101: R84 Equity Method Investments (Overview) (Details) HTML 55K
102: R85 Equity Method Investments (Investees) (Details) HTML 88K
103: R86 Goodwill and Intangible Assets (Goodwill HTML 73K
Rollforward) (Details)
104: R87 Goodwill and Intangible Assets (Intangible Assets) HTML 68K
(Details)
105: R88 Goodwill and Intangible Assets (Amortizable HTML 79K
Intangible Assets) (Details)
106: R89 Goodwill and Intangible Assets (Amortizable Net HTML 74K
Intangible Assets) (Details)
107: R90 Deposits (Details) HTML 67K
108: R91 Borrowings and Other Secured Financings (Other HTML 64K
Narratives) (Details)
109: R92 Borrowings and Other Secured Financings HTML 50K
(Short-term Borrowings) (Details)
110: R93 Borrowings and Other Secured Financings HTML 131K
(Maturities and Terms of Long-term Borrowings)
(Details)
111: R94 Borrowings and Other Secured Financings (Long-term HTML 60K
Borrowings by Type) (Details)
112: R95 Borrowings and Other Secured Financings (Rates for HTML 54K
Long-Term Borrowings at Period End) (Details)
113: R96 Borrowings and Other Secured Financings (Other HTML 56K
Secured Financings by Type) (Details)
114: R97 Commitments, Guarantees and Contingencies HTML 88K
(Commitments) (Details)
115: R98 Commitments, Guarantees and Contingencies (Future HTML 74K
Minimum Rental Commitments) (Details)
116: R99 Commitments, Guarantees and Contingencies HTML 119K
(Obligations under Guarantee Arrangements)
(Details)
117: R100 Commitments, Guarantees and Contingencies (Types HTML 78K
of Guarantees) (Details)
118: R101 Commitments, Guarantees and Contingencies HTML 170K
(Contingencies) (Details)
119: R102 Variable Interest Entities and Securitization HTML 62K
Activities (Consolidated VIEs) (Details)
120: R103 Variable Interest Entities and Securitization HTML 86K
Activities (Assets and Liabilities by Balance
Sheet Caption) (Details)
121: R104 Variable Interest Entities and Securitization HTML 113K
Activities (Non-Consolidated VIEs) (Details)
122: R105 Variable Interest Entities and Securitization HTML 96K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
123: R106 Variable Interest Entities and Securitization HTML 81K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
124: R107 Variable Interest Entities and Securitization HTML 74K
Activities (Proceeds from retained interests in
securitization transactions) (Details)
125: R108 Variable Interest Entities and Securitization HTML 52K
Activities (Failed Sales) (Details)
126: R109 Regulatory Requirements (Narrative) (Details) HTML 74K
127: R110 Regulatory Requirements (Capital Measures) HTML 83K
(Details)
128: R111 Regulatory Requirements (Significant U.S. Bank HTML 91K
Operating Subsidiaries' Capital) (Details)
129: R112 Total Equity (Changes in Shares of Common Stock HTML 57K
Outstanding) (Details)
130: R113 Total Equity (Dividents and Share Repurchase) HTML 66K
(Details)
131: R114 Total Equity (Preferred Stock General Disclosure) HTML 80K
(Details)
132: R115 Total Equity (Preferred Stock Outstanding) HTML 92K
(Details)
133: R116 Total Equity (Preferred Stock Issuance HTML 98K
Description) (Details)
134: R117 Total Equity (Accumulated Other Comprehensive HTML 74K
Income (Loss)) (Details)
135: R118 Total Equity (Period Changes in OCI Components) HTML 184K
(Details)
136: R119 Total Equity (Cumulative Foreign Currency HTML 60K
Translation Adjustments) (Details)
137: R120 Earnings Per Common Share (Calculation of Basic HTML 126K
and Diluted EPS) (Details)
138: R121 Interest Income and Interest Expense (Details) HTML 87K
139: R122 Deferred Compensation Plans (Stock-based HTML 80K
Compensation Plans) (Details)
140: R123 Deferred Compensation Plans (Restricted Stock HTML 84K
Units) (Details)
141: R124 Deferred Compensation Plans (Unvested Restricted HTML 81K
Stock Units) (Details)
142: R125 Deferred Compensation Plans (Stock Options) HTML 114K
(Details)
143: R126 Deferred Compensation Plans (Performance-Based HTML 92K
Stock Units) (Details)
144: R127 Deferred Compensation Plans (Deferred Cash-based HTML 74K
Compensation Plans) (Details)
145: R128 Deferred Compensation Plans (2016 Performance Year HTML 81K
Deferred Compensation Awards) (Details)
146: R129 Employee Benefit Plans (Net Periodic Benefit HTML 112K
Expense (Income)) (Details)
147: R130 Employee Benefit Plans (Rollforward of the Benefit HTML 110K
Obligation and Fair Value of Plan Assets)
(Details)
148: R131 Employee Benefit Plans (Summary of Funded Status) HTML 83K
(Details)
149: R132 Employee Benefit Plans (Pension Plans with HTML 62K
Projected Benefit Obligations in Excess of Fair
Value of Plan Assets) (Details)
150: R133 Employee Benefit Plans (Assumptions) (Details) HTML 78K
151: R134 Employee Benefit Plans (Fair Value of Net Pension HTML 163K
Plan Assets) (Details)
152: R135 Employee Benefit Plans (Changes in Level 3 Pension HTML 61K
Assets) (Details)
153: R136 Employee Benefit Plans (Expected Future Benefit HTML 70K
Payments) (Details)
154: R137 Employee Benefit Plans (Defined Contribution HTML 64K
Plans) (Details)
155: R138 Income Taxes (Components of Provision for (Benefit HTML 124K
from) Income Taxes) (Details)
156: R139 Income Taxes (Reconciliation of the Effective HTML 101K
Income Tax Rate) (Details)
157: R140 Income Taxes (Components of Deferred Tax Assets HTML 89K
and Liabilities) (Details)
158: R141 Income Taxes (Unrecognized Tax Benefits) (Details) HTML 69K
159: R142 Income Taxes (Earliest Tax Year Subject to HTML 58K
Examination in Major Tax Jurisdictions) (Details)
160: R143 Income Taxes (Income from Continuing Operations HTML 55K
before Income Tax Expense (Benefit)) (Details)
161: R144 Segment and Geographic Information (Selected HTML 146K
Financial Information by Segments) (Details)
162: R145 Segment and Geographic Information (Assets by HTML 63K
Business Segment) (Details)
163: R146 Segment and Geographic Information (Net Revenues HTML 67K
and Total Assets by Region) (Details)
164: R147 Segment and Geographic Information (Total Assets HTML 57K
by Geographic Information) (Details)
165: R148 Parent Company (Condensed Income Statements and HTML 129K
Comprehensive Income Statements) (Details)
166: R149 Parent Company (Condensed Balance Sheets) HTML 140K
(Details)
167: R150 Parent Company (Condensed Cash Flow Statements) HTML 161K
(Details)
168: R151 Parent Company (Long-Term Borrowings) (Details) HTML 60K
169: R152 Parent Company (Guarantees) (Details) HTML 55K
170: R153 Quarterly Results (Unaudited) (Details) HTML 126K
171: R154 Quarterly Results (Unaudited - Narratives) HTML 66K
(Details)
173: XML IDEA XML File -- Filing Summary XML 350K
172: EXCEL IDEA Workbook of Financial Reports XLSX 329K
12: EX-101.INS XBRL Instance -- ms-20161231 XML 21.79M
14: EX-101.CAL XBRL Calculations -- ms-20161231_cal XML 624K
15: EX-101.DEF XBRL Definitions -- ms-20161231_def XML 3.43M
16: EX-101.LAB XBRL Labels -- ms-20161231_lab XML 6.30M
17: EX-101.PRE XBRL Presentations -- ms-20161231_pre XML 4.54M
13: EX-101.SCH XBRL Schema -- ms-20161231 XSD 615K
174: ZIP XBRL Zipped Folder -- 0001193125-17-059212-xbrl Zip 1.20M
| EX-10.4 |
EXHIBIT 10.4
AMENDMENT TO THE
MORGAN STANLEY 401(k) PLAN
Morgan Stanley & Co. LLC (the “Company”) hereby amends the Morgan Stanley 401(k) Plan (the “401(k) Plan”) as follows:
1. Effective January 1, 2016, Section 2, Definitions, is amended by inserting “or sponsored” after “maintained” and inserting “223,” after “401(k)” in the second sentence of the definition of “Earnings”.
2. Effective January 1, 2016, Section 2, Definitions, is further amended by inserting “223,” after “401(k)” in the first sentence of the definition of “Testing Compensation”.
3. Effective January 1, 2016, Appendix B, Morgan Stanley Participating Companies, is amended by replacing the reference to “Morgan Stanley Asset Management Inc.” with “Morgan Stanley Investment Management Inc.” and inserting the following at the end of the list of Participating Companies therein:
“Morgan Stanley Bank, N.A.
MS Financing Inc.
Morgan Stanley Services Group Inc.
Morgan Stanley Services Company Inc.
Morgan Stanley Commercial Financial Services LLC
Morgan Stanley Private Bank, N.A.
Morgan Stanley NLE, LLC
Ceres Managed Futures LLC
Morgan Stanley Energy Capital, Inc.
Morgan Stanley Senior Funding Inc.”
* * * * * * * * *
IN WITNESS WHEREOF, the Company has caused this Amendment to be executed on its behalf as of this 13th day of December, 2016.
| MORGAN STANLEY & CO. LLC | ||
| By: | /s/ Jeffrey Brodsky | |
| Title: | Chief Human Resources Officer | |
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 2/27/17 | 424B2, FWP | ||
| For Period end: | 12/31/16 | 11-K, 13F-HR, 13F-HR/A, FWP | ||
| 1/1/16 | 3 | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/24/22 Morgan Stanley 10-K 12/31/21 225:51M 2/26/21 Morgan Stanley 10-K 12/31/20 225:50M |