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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/04/15 Morgan Stanley 10-Q 3/31/15 123:45M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 3.38M
2: EX-10.1 Material Contract HTML 43K
3: EX-10.2 Material Contract HTML 34K
4: EX-12 Statement re: Computation of Ratios HTML 60K
5: EX-15 Letter re: Unaudited Interim Financial Information HTML 44K
6: EX-31.1 Certification -- §302 - SOA'02 HTML 41K
7: EX-31.2 Certification -- §302 - SOA'02 HTML 41K
8: EX-32.1 Certification -- §906 - SOA'02 HTML 36K
9: EX-32.2 Certification -- §906 - SOA'02 HTML 36K
83: R1 Document and Entity Information HTML 64K
63: R2 Consolidated Statements of Financial Condition HTML 188K
78: R3 Consolidated Statements of Financial Condition HTML 127K
(Parenthetical)
87: R4 Consolidated Statements of Income HTML 196K
111: R5 Consolidated Statements of Comprehensive Income HTML 89K
66: R6 Consolidated Statements of Cash Flows HTML 197K
77: R7 Consolidated Statements of Changes in Total Equity HTML 99K
57: R8 Introduction and Basis of Presentation HTML 63K
46: R9 Significant Accounting Policies HTML 47K
113: R10 Fair Value Disclosures HTML 1.10M
89: R11 Investment Securities HTML 291K
88: R12 Collateralized Transactions HTML 107K
95: R13 Variable Interest Entities and Securitization HTML 282K
Activities
96: R14 Loans and Allowance for Loan Losses HTML 293K
93: R15 Deposits HTML 56K
97: R16 Long-Term Borrowings and Other Secured Financings HTML 59K
79: R17 Derivative Instruments and Hedging Activities HTML 579K
84: R18 Commitments, Guarantees and Contingencies HTML 160K
91: R19 Regulatory Requirements HTML 123K
122: R20 Total Equity HTML 119K
106: R21 Earnings Per Common Share HTML 79K
72: R22 Interest Income and Interest Expense HTML 62K
90: R23 Employee Benefit Plans HTML 49K
75: R24 Income Taxes HTML 47K
36: R25 Segment and Geographic Information HTML 145K
107: R26 Equity Method Investments HTML 49K
117: R27 Subsequent Events HTML 49K
51: R28 Significant Accounting Policies (Policy) HTML 43K
50: R29 Fair Value Disclosures (Tables) HTML 1.06M
55: R30 Investment Securities (Tables) HTML 279K
56: R31 Collateralized Transactions (Tables) HTML 92K
58: R32 Variable Interest Entities and Securitization HTML 232K
Activities (Tables)
25: R33 Loans and Allowance for Loan Losses (Tables) HTML 267K
104: R34 Deposits (Tables) HTML 46K
70: R35 Long-Term Borrowings and Other Secured Financings HTML 53K
(Tables)
73: R36 Derivative Instruments and Hedging Activities HTML 534K
(Tables)
41: R37 Commitments, Guarantees and Contingencies (Tables) HTML 105K
120: R38 Regulatory Requirements (Tables) HTML 86K
16: R39 Total Equity (Tables) HTML 99K
60: R40 Earnings Per Common Share (Tables) HTML 77K
110: R41 Interest Income and Interest Expense (Tables) HTML 61K
38: R42 Employee Benefit Plans (Tables) HTML 46K
49: R43 Segment and Geographic Information (Tables) HTML 139K
54: R44 Introduction and Basis of Presentation (Details) HTML 40K
64: R45 Fair Value Disclosures (Assets and Liabilities HTML 639K
Measured at Fair Value on a Recurring Basis)
(Details)
24: R46 Fair Value Disclosures (Changes in Level 3 Assets HTML 1.06M
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
45: R47 Fair Value Disclosures (Quantitative Information HTML 677K
about and Sensitivity of Significant Unobservable
Inputs Used in Recurring Level 3 Fair Value
Measurements) (Details)
18: R48 Fair Value Disclosures (Fair Value of Investments HTML 108K
that Calculate Net Asset Value) (Details)
109: R49 Fair Value Disclosures (Net Gains (Losses) Due to HTML 76K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
37: R50 Fair Value Disclosures (Short-term and Long-term HTML 51K
Borrowings) (Details)
105: R51 Fair Value Disclosures (Gains (Losses) Due to HTML 47K
Changes in Instrument Specific Credit Risk)
(Details)
42: R52 Fair Value Disclosures (Net Difference between HTML 51K
Contractual Principal Amount and Fair Value)
(Details)
61: R53 Fair Value Disclosures (Assets Measured at Fair HTML 151K
Value on a Nonrecurring Basis) (Details)
17: R54 Fair Value Disclosures (Financial Instruments Not HTML 215K
Measured at FV) (Details)
21: R55 Investment Securities (Schedule of Investment HTML 243K
Securities) (Details)
53: R56 Investment Securities (Schedule of Investment HTML 189K
Securities in an Unrealized Loss Position)
(Details)
29: R57 Investment Securities (Schedule of Amortized Cost HTML 265K
and Fair Value of Available for Sale Debt
Securities by Contractual Date) (Details)
114: R58 Investment Securities (Schedule of Proceeds of HTML 42K
Sale of Securities Available for Sale) (Details)
68: R59 Collateralized Transactions (Narrative) (Details) HTML 46K
94: R60 Collateralized Transactions (Balance Sheet HTML 119K
Offsetting) (Details)
44: R61 Collateralized Transactions (Financial Instruments HTML 54K
Owned That Have Been Loaned Or Pledged To
Counterparties) (Details)
47: R62 Collateralized Transactions (Cash And Securities HTML 44K
Deposited With Clearing Organizations Or
Segregated Under Federal And Other Regulations Or
Requirements) (Details)
102: R63 Variable Interest Entities and Securitization HTML 74K
Activities (Narrative) (Details)
98: R64 Variable Interest Entities and Securitization HTML 57K
Activities (Consolidated VIEs) (Details)
71: R65 Variable Interest Entities and Securitization HTML 182K
Activities (Non-Consolidated VIEs) (Details)
100: R66 Variable Interest Entities and Securitization HTML 133K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
43: R67 Variable Interest Entities and Securitization HTML 119K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
76: R68 Variable Interest Entities and Securitization HTML 56K
Activities (Failed Sales) (Details)
116: R69 Variable Interest Entities and Securitization HTML 38K
Activities (Mortgage Servicing Activities)
(Details)
20: R70 Loans and Allowance for Loan Losses (Outstanding HTML 175K
Loans and Credit Quality) (Details)
35: R71 Loans and Allowance for Loan Losses (Impaired HTML 104K
Loans) (Details)
62: R72 Loans and Allowance for Loan Losses (Loans and HTML 232K
Lending-related Commitments) (Details)
27: R73 Loans and Allowance for Loan Losses (Employee HTML 52K
Loans) (Details)
119: R74 Deposits (Details) HTML 74K
39: R75 Long-Term Borrowings and Other Secured Financings HTML 43K
(Other Narratives) (Details)
30: R76 Long-Term Borrowings and Other Secured Financings HTML 52K
(Long-term Borrowings) (Details)
34: R77 Long-Term Borrowings and Other Secured Financings HTML 49K
(Other Secured Financings) (Details)
22: R78 Derivative Instruments and Hedging Activities HTML 79K
(Other Disclosures) (Details)
26: R79 Derivative Instruments and Hedging Activities HTML 144K
(Components of Derivative Products) (Details)
85: R80 Derivative Instruments and Hedging Activities HTML 109K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
32: R81 Derivative Instruments and Hedging Activities HTML 446K
(Fair Value of Derivative Instruments Designated
and Not Designated as Accounting Hedges by Type of
Derivative Contract on a Gross Basis) (Details)
115: R82 Derivative Instruments and Hedging Activities HTML 78K
(Gains or Losses on Derivative Instruments,
Related Hedge Items and Hedge Ineffectiveness)
(Details)
59: R83 Derivative Instruments and Hedging Activities HTML 301K
(Notional and Fair Value of Protection Sold and
Purchased through Credit Default Swaps) (Details)
92: R84 Commitments, Guarantees and Contingencies HTML 131K
(Narrative - Contingencies) (Details)
99: R85 Commitments, Guarantees and Contingencies HTML 107K
(Commitments) (Details)
31: R86 Commitments, Guarantees and Contingencies HTML 143K
(Obligations under Guarantee Arrangements)
(Details)
33: R87 Regulatory Requirements (Narrative) (Details) HTML 55K
112: R88 Regulatory Requirements (Capital Measures) HTML 85K
(Details)
28: R89 Regulatory Requirements (Significant U.S. Bank HTML 125K
Operating Subsidiaries' Capital) (Details)
86: R90 Total Equity (Narrative) (Details) HTML 49K
82: R91 Total Equity (Preferred Stock Outstanding) HTML 78K
(Details)
103: R92 Total Equity (Preferred Stock) (Details) HTML 89K
81: R93 Total Equity (Components of Accumulated Other HTML 82K
Comprehensive Income (Loss)) (Details)
67: R94 Earnings Per Common Share (Calculation of Basic HTML 129K
and Diluted EPS) (Details)
108: R95 Earnings Per Common Share (Antidilutive Securities HTML 45K
Excluded from the Computation of Diluted EPS)
(Details)
65: R96 Interest Income and Interest Expense (Details) HTML 82K
40: R97 Employee Benefit Plans (Net Periodic Benefit HTML 56K
Expense) (Details)
74: R98 Income Taxes (Reconciliation of the Provision for HTML 42K
(Benefit from) Income Taxes and the U.S. Federal
Statutory Income Tax Rate) (Details)
69: R99 Segment and Geographic Information (Selected HTML 171K
Financial Information by Segments) (Details)
52: R100 Segment and Geographic Information (Assets by HTML 48K
Segments) (Details)
123: R101 Segment and Geographic Information (Net Revenues HTML 47K
by Geographic Information) (Details)
101: R102 Equity Method Investments (Narratives) (Details) HTML 51K
80: R103 Equity Method Investments (Investees) (Details) HTML 39K
23: R104 Subsequent Events (Details) HTML 70K
118: XML IDEA XML File -- Filing Summary XML 197K
19: EXCEL IDEA Workbook of Financial Reports XLSX 590K
48: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 7.12M
10: EX-101.INS XBRL Instance -- ms-20150331 XML 13.60M
12: EX-101.CAL XBRL Calculations -- ms-20150331_cal XML 597K
13: EX-101.DEF XBRL Definitions -- ms-20150331_def XML 3.62M
14: EX-101.LAB XBRL Labels -- ms-20150331_lab XML 6.55M
15: EX-101.PRE XBRL Presentations -- ms-20150331_pre XML 4.58M
11: EX-101.SCH XBRL Schema -- ms-20150331 XSD 679K
121: ZIP XBRL Zipped Folder -- 0001193125-15-169056-xbrl Zip 780K
| EX-10.1 |
Exhibit 10.1
Strictly Private and Confidential
Addressee Only
c/o Morgan Stanley
Dear Colm
CHANGE IN TERMS AND CONDITIONS OF EMPLOYMENT
Morgan Stanley will need to comply with recent changes in remuneration regulations that require the ability to claw back amounts of variable incentive compensation vested, paid or distributed to Code Staff for at least seven years from the date of the award.
Given the significance of this requirement, Morgan Stanley has adopted a new Code Staff Clawback Policy (such policy, as may be amended from time to time, the “Policy”) detailing the compensation subject to the Policy, the period during which the Policy applies, the circumstances under which clawback applies and the methods by which clawback may be effected. The Policy will apply to all variable incentive compensation awarded to Code Staff on or after 1 January 2015.
As Code Staff, your future awards of variable incentive compensation will be covered by the Policy. The Policy then in effect will be made available to you at the time that any variable incentive compensation is awarded to you. The Policy is in addition to existing regulatory requirements and cancellation and clawback rules under the governing award terms of Morgan Stanley’s deferred compensation plans (the “Award Terms”) and shall be incorporated into the Award Terms for covered variable incentive compensation.
For purposes of this letter and the Policy, use of the term “claw back” or “clawback” with respect to variable incentive compensation refers to the repayment, recapture or recovery of such compensation as described in the Policy. Any variable incentive compensation awarded to you on or after 1 January 2015 may be subject to adjustment or cancellation before vesting, payment or distribution (in accordance with the Award Terms) and to clawback after vesting, payment or distribution (in accordance with the Award Terms and the Policy).
As a minimum, your variable incentive compensation will be subject to clawback under the Policy if Morgan Stanley determines in its sole discretion that:
| • | You: |
| (i) | participated in or were responsible for conduct that resulted in significant losses to Morgan Stanley; and/or |
| (ii) | failed to meet appropriate standards of fitness and propriety; |
and/or
| (iii) | there is reasonable evidence of misbehaviour or material error by you; and/or |
| • | Morgan Stanley or the relevant business unit has suffered a material failure of risk management. |
In addition, you will continue to be subject to all applicable Award Terms.
As a minimum, clawback under the Policy may be effected by:
| • | requiring you to make a cash repayment to Morgan Stanley of an amount of variable incentive compensation that was previously paid to you; and/or |
| • | requiring you to transfer to Morgan Stanley shares previously distributed to you in respect of any equity-based variable incentive compensation award; and/or |
| • | requiring you to pay Morgan Stanley an amount equal to the value of Morgan Stanley shares previously distributed to you in respect of any equity-based variable incentive compensation award; and/or |
| • | Morgan Stanley withholding or offsetting in such amounts as determined by Morgan Stanley from or against any vesting, payment or distribution (including base salary, allowances and/or bonus payments) or any other award (including deferred variable incentive compensation awards) to which you may be entitled in connection with your employment with Morgan Stanley, subject to the limitations imposed under applicable tax regulations and rules. |
Please sign the enclosed copy of this letter to confirm that you have read this letter and agree with its terms. The signed letter should be returned to Katy Kitsell in Human Resources. Variable incentive compensation for future performance years will not be awarded unless Morgan Stanley has received a signed copy of this letter from you.
| Yours sincerely | ||||
| /s/ Andrew Trapnell |
||||
| Andrew Trapnell | ||||
| Human Resources | ||||
I acknowledge receipt of this letter and confirm that I understand I am bound by its terms.
| /s/ Colm Kelleher |
||||
| Colm Kelleher | Date: January 5, 2015 | |||
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 5/4/15 | 424B2, FWP | ||
| For Period end: | 3/31/15 | 13F-HR, 424B2, FWP | ||
| 1/5/15 | FWP | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/22/24 Morgan Stanley 10-K 12/31/23 224:45M 2/24/23 Morgan Stanley 10-K 12/31/22 227:50M 2/24/22 Morgan Stanley 10-K 12/31/21 225:51M 2/26/21 Morgan Stanley 10-K 12/31/20 225:50M |