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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/02/15 Morgan Stanley 10-K 12/31/14 178:65M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 5.57M
2: EX-10.5 Material Contract HTML 58K
4: EX-21 Subsidiaries List HTML 342K
5: EX-23.1 Consent of Experts or Counsel HTML 58K
3: EX-12 Statement re: Computation of Ratios HTML 79K
6: EX-31.1 Certification -- §302 - SOA'02 HTML 55K
7: EX-31.2 Certification -- §302 - SOA'02 HTML 55K
8: EX-32.1 Certification -- §906 - SOA'02 HTML 51K
9: EX-32.2 Certification -- §906 - SOA'02 HTML 51K
122: R1 Document and Entity Information HTML 82K
89: R2 Consolidated Statements of Financial Condition HTML 200K
113: R3 Consolidated Statements of Financial Condition HTML 144K
(Parenthetical)
127: R4 Consolidated Statements of Income HTML 225K
162: R5 Consolidated Statements of Comprehensive Income HTML 118K
94: R6 Consolidated Statements of Cash Flows HTML 228K
112: R7 Consolidated Statements of Changes in Total Equity HTML 141K
80: R8 Introduction and Basis of Presentation HTML 87K
65: R9 Significant Accounting Policies HTML 170K
164: R10 Wealth Management JV HTML 65K
129: R11 Fair Value Disclosures HTML 1.30M
128: R12 Investment Securities HTML 291K
139: R13 Collateralized Transactions HTML 125K
140: R14 Variable Interest Entities and Securitization HTML 334K
Activities
134: R15 Loans and Allowance for Loan Losses HTML 318K
142: R16 Goodwill and Net Intangible Assets HTML 131K
114: R17 Deposits HTML 67K
124: R18 Borrowings and Other Secured Financings HTML 167K
132: R19 Derivative Instruments and Hedging Activities HTML 599K
177: R20 Commitments, Guarantees and Contingencies HTML 222K
154: R21 Regulatory Requirements HTML 153K
104: R22 Total Equity HTML 178K
131: R23 Earnings Per Common Share HTML 104K
108: R24 Interest Income and Interest Expense HTML 80K
50: R25 Deferred Compensation Plans HTML 189K
156: R26 Employee Benefit Plans HTML 342K
169: R27 Income Taxes HTML 186K
74: R28 Segment and Geographic Information HTML 212K
73: R29 Equity Method Investments HTML 93K
78: R30 Parent Company HTML 186K
79: R31 Quarterly Results HTML 152K
82: R32 Subsequent Events HTML 64K
31: R33 Significant Accounting Policies (Policy) HTML 219K
151: R34 Fair Value Disclosures (Tables) HTML 1.19M
100: R35 Investment Securities (Tables) HTML 281K
105: R36 Collateralized Transactions (Tables) HTML 106K
57: R37 Variable Interest Entities and Securitization HTML 270K
Activities (Tables)
176: R38 Loans and Allowance for Loan Losses (Tables) HTML 287K
16: R39 Goodwill and Net Intangible Assets (Tables) HTML 128K
86: R40 Deposits (Tables) HTML 60K
160: R41 Borrowings and Other Secured Financings (Tables) HTML 155K
54: R42 Derivative Instruments and Hedging Activities HTML 551K
(Tables)
72: R43 Commitments, Guarantees and Contingencies (Tables) HTML 131K
77: R44 Regulatory Requirements (Tables) HTML 114K
90: R45 Total Equity (Tables) HTML 135K
30: R46 Earnings Per Common Share (Tables) HTML 103K
64: R47 Interest Income and Interest Expense (Tables) HTML 79K
21: R48 Deferred Compensation Plans (Tables) HTML 167K
158: R49 Employee Benefit Plans (Tables) HTML 315K
52: R50 Income Taxes (Tables) HTML 156K
153: R51 Segment and Geographic Information (Tables) HTML 209K
58: R52 Equity Method Investments (Tables) HTML 78K
87: R53 Parent Company (Tables) HTML 171K
19: R54 Quarterly Results (Tables) HTML 150K
26: R55 Introduction and Basis of Presentation (Details) HTML 111K
76: R56 Significant Accounting Policies (Details) HTML 112K
38: R57 Wealth Management JV (Details) HTML 93K
165: R58 Fair Value Disclosures (Narrative) (Details) HTML 81K
98: R59 Fair Value Disclosures (Assets and Liabilities HTML 659K
Measured at Fair Value on a Recurring Basis)
(Details)
136: R60 Fair Value Disclosures (Changes in Level 3 Assets HTML 1.45M
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
63: R61 Fair Value Disclosures (Quantitative Information HTML 667K
about and Sensitivity of Significant Unobservable
Inputs Used in Recurring Level 3 Fair Value
Measurements) (Details)
68: R62 Fair Value Disclosures (Fair Value of Investments HTML 129K
that Calculate Net Asset Value) (Details)
148: R63 Fair Value Disclosures (Net Gains (Losses) Due to HTML 107K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
143: R64 Fair Value Disclosures (Short-term and Long-term HTML 65K
Borrowings) (Details)
103: R65 Fair Value Disclosures (Gains (Losses) Due to HTML 64K
Changes in Instrument Specific Credit Risk)
(Details)
146: R66 Fair Value Disclosures (Net Difference between HTML 65K
Contractual Principal Amount and Fair Value)
(Details)
59: R67 Fair Value Disclosures (Assets Measured at Fair HTML 176K
Value on a Nonrecurring Basis) (Details)
109: R68 Fair Value Disclosures (Financial Instruments Not HTML 227K
Measured at FV) (Details)
168: R69 Investment Securities (Schedule of Investment HTML 192K
Securities) (Details)
24: R70 Investment Securities (Schedule of Investment HTML 195K
Securities in an Unrealized Loss Position)
(Details)
49: R71 Investment Securities (Schedule of Amortized Cost HTML 217K
and Fair Value of Available for Sale Debt
Securities by Contractual Date) (Details)
88: R72 Investment Securities (Schedule of Proceeds of HTML 57K
Sale of Securities Available for Sale) (Details)
36: R73 Collateralized Transactions (Narrative) (Details) HTML 65K
174: R74 Collateralized Transactions (Balance Sheet HTML 133K
Offsetting) (Details)
55: R75 Collateralized Transactions (Financial Instruments HTML 68K
Owned That Have Been Loaned Or Pledged To
Counterparties) (Details)
41: R76 Collateralized Transactions (Cash And Securities HTML 59K
Deposited With Clearing Organizations Or
Segregated Under Federal And Other Regulations Or
Requirements) (Details)
48: R77 Variable Interest Entities and Securitization HTML 89K
Activities (Narrative) (Details)
27: R78 Variable Interest Entities and Securitization HTML 71K
Activities (Consolidated VIEs) (Details)
32: R79 Variable Interest Entities and Securitization HTML 197K
Activities (Non-Consolidated VIEs) (Details)
125: R80 Variable Interest Entities and Securitization HTML 147K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
46: R81 Variable Interest Entities and Securitization HTML 124K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
166: R82 Variable Interest Entities and Securitization HTML 70K
Activities (Failed Sales) (Details)
84: R83 Variable Interest Entities and Securitization HTML 86K
Activities (Mortgage Servicing Activities)
(Details)
133: R84 Loans and Allowance for Loan Losses (Outstanding HTML 194K
Loans and Credit Quality) (Details)
145: R85 Loans and Allowance for Loan Losses (Impaired HTML 120K
Loans) (Details)
43: R86 Loans and Allowance for Loan Losses (Loans and HTML 240K
Lending-related Commitments) (Details)
47: R87 Loans and Allowance for Loan Losses (Employee HTML 67K
Loans) (Details)
163: R88 Goodwill and Net Intangible Assets (Narrative) HTML 64K
(Details)
37: R89 Goodwill and Net Intangible Assets (Changes in HTML 104K
Carrying Amount of Goodwill) (Details)
126: R90 Goodwill and Net Intangible Assets (Changes in HTML 116K
Carrying Amount of Intangible Assets) (Details)
117: R91 Goodwill and Net Intangible Assets (Amortizable HTML 77K
Intangible Assets) (Details)
149: R92 Deposits (Details) HTML 78K
116: R93 Borrowings and Other Secured Financings (Other HTML 91K
Narratives) (Details)
95: R94 Borrowings and Other Secured Financings HTML 69K
(Commercial Paper and Other Short-term Borrowings)
(Details)
157: R95 Borrowings and Other Secured Financings (Long-term HTML 131K
Borrowings Maturities and Terms) (Details)
91: R96 Borrowings and Other Secured Financings (Long-term HTML 66K
Borrowings) (Details)
56: R97 Borrowings and Other Secured Financings (Effective HTML 57K
Average Borrowing Rate) (Details)
106: R98 Borrowings and Other Secured Financings (Other HTML 69K
Secured Financings) (Details)
99: R99 Borrowings and Other Secured Financings (Schedule HTML 112K
of Maturities of Secured Financing) (Details)
75: R100 Borrowings and Other Secured Financings (Schedule HTML 89K
of Failed Sales) (Details)
178: R101 Derivative Instruments and Hedging Activities HTML 100K
(Other Disclosures) (Details)
147: R102 Derivative Instruments and Hedging Activities HTML 158K
(Components of Derivative Products) (Details)
115: R103 Derivative Instruments and Hedging Activities HTML 124K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
29: R104 Derivative Instruments and Hedging Activities HTML 460K
(Fair Value of Derivative Instruments Designated
and Not Designated as Accounting Hedges by Type of
Derivative Contract on a Gross Basis) (Details)
159: R105 Derivative Instruments and Hedging Activities HTML 104K
(Gains or Losses on Derivative Instruments,
Related Hedge Items and Hedge Ineffectiveness)
(Details)
167: R106 Derivative Instruments and Hedging Activities HTML 316K
(Notional and Fair Value of Protection Sold and
Purchased through Credit Default Swaps) (Details)
161: R107 Commitments, Guarantees and Contingencies HTML 107K
(Narratives) (Details)
110: R108 Commitments, Guarantees and Contingencies HTML 184K
(Narrative - Contingencies) (Details)
39: R109 Commitments, Guarantees and Contingencies HTML 126K
(Commitments) (Details)
138: R110 Commitments, Guarantees and Contingencies (Future HTML 78K
Minimum Rental Commitments) (Details)
61: R111 Commitments, Guarantees and Contingencies HTML 158K
(Obligations under Guarantee Arrangements)
(Details)
18: R112 Regulatory Requirements (Narrative) (Details) HTML 73K
93: R113 Regulatory Requirements (Capital Measures) HTML 109K
(Details)
85: R114 Regulatory Requirements (Significant U.S. Bank HTML 141K
Operating Subsidiaries' Capital) (Details)
155: R115 Total Equity (Narrative) (Details) HTML 91K
67: R116 Total Equity (Changes in Shares of Common Stock HTML 61K
Outstanding) (Details)
171: R117 Total Equity (Preferred Stock Outstanding) HTML 90K
(Details)
33: R118 Total Equity (Preferred Stock) (Details) HTML 186K
121: R119 Total Equity (Components of Accumulated Other HTML 96K
Comprehensive Income (Loss)) (Details)
144: R120 Total Equity (Cumulative Foreign Currency HTML 65K
Translation Adjustments, Net of Tax) (Details)
22: R121 Earnings Per Common Share (Calculation of Basic HTML 201K
and Diluted EPS) (Details)
118: R122 Earnings Per Common Share (Antidilutive Securities HTML 62K
Excluded from the Computation of Diluted EPS)
(Details)
107: R123 Interest Income and Interest Expense (Details) HTML 108K
25: R124 Deferred Compensation Plans (Stock-based HTML 95K
Compensation Plans) (Details)
123: R125 Deferred Compensation Plans (Deferred Restricted HTML 102K
Stock Units) (Details)
173: R126 Deferred Compensation Plans (Unvested Restricted HTML 93K
Stock Units) (Details)
34: R127 Deferred Compensation Plans (Stock Options) HTML 144K
(Details)
69: R128 Deferred Compensation Plans (Performance-based HTML 106K
Stock Units) (Details)
150: R129 Deferred Compensation Plans (Deferred Cash-based HTML 88K
Compensation Plans) (Details)
172: R130 Deferred Compensation Plans (2014 Performance Year HTML 86K
Deferred Compensation Awards) (Details)
102: R131 Employee Benefit Plans (Narratives) (Details) HTML 89K
119: R132 Employee Benefit Plans (Net Periodic Benefit HTML 163K
Expense) (Details)
35: R133 Employee Benefit Plans (Reconciliation of Changes HTML 154K
in Benefit Obligation and Fair Value of Plan
Assets) (Details)
40: R134 Employee Benefit Plans (Summary of Funded Status) HTML 92K
(Details)
92: R135 Employee Benefit Plans (Pension Plans with HTML 69K
Projected and Accumulated Benefit Obligations in
Excess of Fair Value of Plan Assets) (Details)
71: R136 Employee Benefit Plans (Assumptions) (Details) HTML 89K
141: R137 Employee Benefit Plans (Fair Value of Net Pension HTML 321K
Plan Assets) (Details)
96: R138 Employee Benefit Plans (Changes in Level 3 Pension HTML 82K
Assets Measured at Fair Value) (Details)
66: R139 Employee Benefit Plans (Expected Benefit Payments HTML 76K
Associated with the Pension and Postretirement
Benefit Plans) (Details)
97: R140 Income Taxes (Provision for (Benefit from) Income HTML 159K
Taxes from Continuing Operations) (Details)
51: R141 Income Taxes (Reconciliation of the Provision for HTML 140K
(Benefit from) Income Taxes and the U.S. Federal
Statutory Income Tax Rate) (Details)
17: R142 Income Taxes (Significant Components of Deferred HTML 117K
Tax Assets and Liabilities) (Details)
152: R143 Income Taxes (U.S. and Non-U.S. Components of HTML 61K
Income Before Income Tax Expense (Benefit))
(Details)
130: R144 Income Taxes (Reconciliation of Unrecognized Tax HTML 84K
Benefits) (Details)
44: R145 Income Taxes (Major Tax Jurisdictions in Which the HTML 61K
Company and Affiliates Operate and the Earliest
Tax Year Subject to Examination) (Details)
120: R146 Income Taxes (Investments in Qualified Affordable HTML 69K
Housing Projects) (Details)
101: R147 Segment and Geographic Information (Selected HTML 281K
Financial Information by Segments) (Details)
42: R148 Segment and Geographic Information (Assets by HTML 68K
Segments) (Details)
45: R149 Segment and Geographic Information (Net Revenues HTML 70K
by Geographic Information) (Details)
135: R150 Segment and Geographic Information (Total Assets HTML 62K
by Geographic Information) (Details)
62: R151 Equity Method Investments (Narratives) (Details) HTML 79K
20: R152 Equity Method Investments (Investees) (Details) HTML 113K
111: R153 Parent Company (Narrative) (Details) HTML 69K
137: R154 Parent Company (Condensed Statement of Financial HTML 176K
Condition) (Details)
28: R155 Parent Company (Condensed Statements of Income and HTML 197K
Comprehensive Income) (Details)
53: R156 Parent Company (Condensed Statements of Cash HTML 197K
Flows) (Details)
175: R157 Quarterly Results (Unaudited) (Details) HTML 203K
60: R158 Quarterly Results (unaudited - Narratives) HTML 118K
(Details)
83: R159 Subsequent Events (Details) HTML 97K
170: XML IDEA XML File -- Filing Summary XML 306K
23: EXCEL IDEA Workbook of Financial Reports XLSX 913K
70: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 10.67M
10: EX-101.INS XBRL Instance -- ms-20141231 XML 19.42M
12: EX-101.CAL XBRL Calculations -- ms-20141231_cal XML 656K
13: EX-101.DEF XBRL Definitions -- ms-20141231_def XML 3.95M
14: EX-101.LAB XBRL Labels -- ms-20141231_lab XML 6.72M
15: EX-101.PRE XBRL Presentations -- ms-20141231_pre XML 5.02M
11: EX-101.SCH XBRL Schema -- ms-20141231 XSD 722K
81: ZIP XBRL Zipped Folder -- 0001193125-15-071980-xbrl Zip 1.03M
| EX-10.5 |
Exhibit 10.5
AMENDMENT TO
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, 2014, Section 2, Definitions, is amended by inserting the following at the end of the second sentence in the definition of “Earnings”:
“, and effective January 1, 2014, Earnings shall also include the value of any distributions in the form of Morgan Stanley common stock from a non-qualified deferred compensation plan maintained by a Participating Company.”
2. Effective January 1, 2014, Section 2, Definitions, is further amended by inserting the following immediately following “(iii)” in the fourth sentence of the definition of “Earnings”:
“except for any distributions in the form of Morgan Stanley common stock as described above in this paragraph,”
3. Effective January 1, 2014, Section 2, Definitions, is amended by substituting the following for the existing definition of “Fiduciary Responsibility”:
“‘Fiduciary Responsibilities’ means those fiduciary, operational and administrative duties performed by individuals designated as fiduciaries, or acting in the capacity of a fiduciary under the Plan, pursuant to the provisions of Part 4 of Title I of ERISA. Any person acting as a fiduciary may also perform any other role for the Company and/or its affiliates.
“In carrying out its Fiduciary Responsibilities, each such fiduciary shall have discretionary authority to make any findings determined by such person to be necessary or appropriate for any purpose under the Plan, including interpreting the terms of the Plan. Any interpretation or determination made pursuant to such discretionary authority shall be given full force and effect, unless it can be shown that the interpretation or determination was arbitrary and capricious.”
4. Effective January 1, 2014, each instance of the term “Global Director of Human Resources” throughout the 401(k) Plan shall be replaced with “Chief Human Resources Officer (or equivalent title)”.
5. Effective June 26, 2013, Section 2, Definitions, is amended by inserting a new definition in appropriate alphabetical order as follows:
“‘Spouse’ means, effective June 26, 2013, the person of the opposite or same sex to whom the Participant is legally married pursuant to a state or foreign law permitting such marriage. For periods prior to June 26, 2013, whether a person is
a Spouse or surviving Spouse at a particular time will be determined using the eligibility standards for U.S. Social Security benefits in effect at that time.”
6. Effective June 26, 2013, each instance of the term “spouse” throughout the 401(k) Plan shall be replaced with “Spouse”.
7. Effective January 1, 2014, Section 5, Employee Contributions, is amended by inserting the following at the end of the first paragraph of subsection (a):
“To the extent a Participant’s Earnings include distributions in the form of Morgan Stanley common stock from a non-qualified deferred compensation plan maintained by a Participating Company, such distributions are not subject to the Participant’s contribution election under this Section 5.”
8. Effective January 1, 2014, Section 6, Company Contributions, is amended by inserting the following at the end of the first sentence of subsection (a) and after the phrase “Participant Earnings” in clause (1) of the first paragraph of subsection (d)(ii):
“(including any distributions in the form of Morgan Stanley common stock from a non-qualified deferred compensation plan maintained by a Participating Company as described in the definition of Earnings)”
9. Effective January 1, 2014, Section 7, Investment and Valuation of the Trust Fund, is amended by inserting the following at the beginning of the second sentence of subsection (b)(i):
“Except as otherwise provided in this Section,”
10. Effective January 1, 2014, Section 7, Investment and Valuation of the Trust Fund, is further amended by inserting the following at the end of subsection (b)(i):
“With respect to the Morgan Stanley Stock Fund, the Investment Committee shall administer the Morgan Stanley Stock Fund in accordance with the Plan document and Trust Agreement insofar as such documents are consistent with the provisions of Titles I and IV of ERISA. The Investment Committee shall maintain the Morgan Stanley Stock Fund as an ongoing investment option in which Participants may elect to invest some or all of their Accounts, unless the Investment Committee, in the exercise of its Fiduciary Responsibilities (subject to an arbitrary and capricious standard of review, to the extent permitted by law), determines that maintaining the Morgan Stanley Stock Fund as either an investment option for Accounts or as an investment option open to new amounts from Accounts would be inconsistent with the provisions of Titles I and IV of ERISA, including section 404(a) of ERISA.”
11. Effective January 1, 2014, Section 7, Investment and Valuation of the Trust Fund, is further amended by deleting the phrase “Notwithstanding any provision of
the Plan or the Trust Agreement to the contrary” in the final sentence of subsection (b)(ii) and replacing it with the following:
“Except as otherwise determined by the Investment Committee in accordance with subsection 7(b)(i),”
12. Effective June 26, 2013, Section 11(e), Designation of Beneficiary, is amended by deleting the fourth sentence of paragraph (i).
13. Effective January 1, 2014, Section 12(g), Loans, is amended by adding “, MS Transition Contributions” immediately following the phrase “Fixed Contributions” in the first sentence of the final paragraph of subsection (ii).
14. Effective January 1, 2014, Section 17, Benefit Plan Appeals Committee, is amended by inserting “Notwithstanding anything in the Plan to the contrary (including the definition of Fiduciary Responsibilities),” at the beginning of the last sentence of subsection (e).
* * * * * * * * *
IN WITNESS WHEREOF, the Company has caused this Amendment to be executed on its behalf as of this 19th day of December, 2014.
| MORGAN STANLEY & CO. LLC | ||
| By: | /s/ Jeffrey Brodsky | |
| Title: | Chief Human Resources Officer | |
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 3/2/15 | 4, 424B2, FWP | ||
| For Period end: | 12/31/14 | 11-K, 13F-HR, 424B2, ARS, FWP | ||
| 1/1/14 | ||||
| 6/26/13 | 424B2, FWP | |||
| 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 6/03/15 SEC UPLOAD¶ 9/22/17 1:33K Morgan Stanley 4/29/15 SEC UPLOAD¶ 9/22/17 1:156K Morgan Stanley |