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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/25/14 Morgan Stanley 10-K 12/31/13 174:59M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 5.32M
4: EX-10.25 Material Contract HTML 53K
2: EX-10.5 Material Contract HTML 56K
3: EX-10.6 Material Contract HTML 53K
6: EX-21 Subsidiaries List HTML 362K
7: EX-23.1 Consent of Experts or Counsel HTML 60K
5: EX-12 Statement re: Computation of Ratios HTML 79K
8: EX-31.1 Certification -- §302 - SOA'02 HTML 56K
9: EX-31.2 Certification -- §302 - SOA'02 HTML 56K
10: EX-32.1 Certification -- §906 - SOA'02 HTML 51K
11: EX-32.2 Certification -- §906 - SOA'02 HTML 51K
119: R1 Document and Entity Information HTML 81K
86: R2 Consolidated Statements of Financial Condition HTML 213K
110: R3 Consolidated Statements of Financial Condition HTML 123K
(Parenthetical)
124: R4 Consolidated Statements of Income HTML 237K
158: R5 Consolidated Statements of Comprehensive Income HTML 120K
91: R6 Consolidated Statements of Cash Flows HTML 238K
109: R7 Consolidated Statements of Changes in Total Equity HTML 114K
79: R8 Introduction and Basis of Presentation HTML 94K
64: R9 Significant Accounting Policies HTML 168K
160: R10 Morgan Stanley Smith Barney Holdings LLC. HTML 68K
126: R11 Fair Value Disclosures HTML 1.29M
125: R12 Securities Available for Sale HTML 261K
135: R13 Collateralized Transactions HTML 125K
136: R14 Variable Interest Entities and Securitization HTML 331K
Activities
131: R15 Financing Receivables and Allowance for Credit HTML 319K
Losses
138: R16 Goodwill and Net Intangible Assets HTML 138K
111: R17 Deposits HTML 67K
121: R18 Borrowings and Other Secured Financings HTML 172K
129: R19 Derivative Instruments and Hedging Activities HTML 612K
173: R20 Commitments, Guarantees and Contingencies HTML 220K
150: R21 Regulatory Requirements HTML 131K
101: R22 Redeemable Noncontrolling Interests and Total HTML 163K
Equity
128: R23 Earnings Per Common Share HTML 105K
105: R24 Interest Income and Interest Expense HTML 79K
51: R25 Deferred Compensation Plans HTML 186K
152: R26 Employee Benefit Plans HTML 350K
166: R27 Income Taxes HTML 187K
73: R28 Segment and Geographic Information HTML 202K
72: R29 Equity Method Investments HTML 94K
77: R30 Parent Company HTML 186K
78: R31 Quarterly Results HTML 149K
80: R32 Subsequent Events HTML 62K
32: R33 Significant Accounting Policies (Policy) HTML 228K
147: R34 Fair Value Disclosures (Tables) HTML 1.20M
97: R35 Securities Available for Sale (Tables) HTML 251K
102: R36 Collateralized Transactions (Tables) HTML 109K
57: R37 Variable Interest Entities and Securitization HTML 273K
Activities (Tables)
172: R38 Financing Receivables and Allowance for Credit HTML 287K
Losses (Tables)
18: R39 Goodwill and Net Intangible Assets (Tables) HTML 132K
83: R40 Deposits (Tables) HTML 59K
156: R41 Borrowings and Other Secured Financings (Tables) HTML 158K
54: R42 Derivative Instruments and Hedging Activities HTML 563K
(Tables)
71: R43 Commitments, Guarantees and Contingencies (Tables) HTML 131K
76: R44 Regulatory Requirements (Tables) HTML 87K
87: R45 Redeemable Noncontrolling Interests and Total HTML 126K
Equity (Tables)
31: R46 Earnings Per Common Share (Tables) HTML 103K
63: R47 Interest Income and Interest Expense (Tables) HTML 77K
23: R48 Deferred Compensation Plans (Tables) HTML 172K
154: R49 Employee Benefit Plans (Tables) HTML 319K
53: R50 Income Taxes (Tables) HTML 157K
149: R51 Segment and Geographic Information (Tables) HTML 202K
58: R52 Equity Method Investments (Tables) HTML 79K
84: R53 Parent Company (Tables) HTML 171K
21: R54 Quarterly Results (Tables) HTML 145K
28: R55 Introduction and Basis of Presentation (Details) HTML 82K
75: R56 Significant Accounting Policies (Details) HTML 85K
39: R57 Morgan Stanley Smith Barney Holdings LLC. HTML 84K
(Details)
161: R58 Fair Value Disclosures (Narrative) (Details) HTML 71K
95: R59 Fair Value Disclosures (Assets and Liabilities HTML 295K
Measured at Fair Value on a Recurring Basis)
(Details)
133: R60 Fair Value Disclosures (Changes in Level 3 Assets HTML 273K
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
62: R61 Fair Value Disclosures (Quantitative Information HTML 252K
about and Sensitivity of Significant Unobservable
Inputs Used in Recurring Level 3 Fair Value
Measurements) (Details)
67: R62 Fair Value Disclosures (Fair Value of Investments HTML 96K
that Calculate Net Asset Value) (Details)
144: R63 Fair Value Disclosures (Net Gains (Losses) Due to HTML 64K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
139: R64 Fair Value Disclosures (Short-term and Long-term HTML 57K
Borrowings) (Details)
100: R65 Fair Value Disclosures (Gains (Losses) Due to HTML 54K
Changes in Instrument Specific Credit Risk)
(Details)
142: R66 Fair Value Disclosures (Net Difference between HTML 64K
Contractual Principal Amount and Fair Value)
(Details)
59: R67 Fair Value Disclosures (Assets Measured at Fair HTML 125K
Value on a Nonrecurring Basis) (Details)
106: R68 Fair Value Disclosures (Financial Instruments Not HTML 141K
Carried at FV) (Details)
164: R69 Securities Available for Sale (Schedule of HTML 100K
Available for Sale Securities) (Details)
26: R70 Securities Available for Sale (Schedule of HTML 106K
Available for Sale Securities in an Unrealized
Loss Position) (Details)
50: R71 Securities Available for Sale (Schedule of HTML 139K
Amortized Cost and Fair Value of Available for
Sale Debt Securities by Contractual Date)
(Details)
85: R72 Securities Available for Sale (Schedule of HTML 57K
Proceeds of Sale of Securities Available for Sale)
(Details)
37: R73 Collateralized Transactions (Narrative) (Details) HTML 64K
171: R74 Collateralized Transactions (Balance Sheet HTML 116K
Offsetting) (Details)
55: R75 Collateralized Transactions (Financial Instruments HTML 59K
Owned That Have Been Loaned Or Pledged To
Counterparties) (Details)
42: R76 Collateralized Transactions (Cash And Securities HTML 59K
Deposited With Clearing Organizations Or
Segregated Under Federal And Other Regulations Or
Requirements) (Details)
49: R77 Variable Interest Entities and Securitization HTML 72K
Activities (Narrative) (Details)
29: R78 Variable Interest Entities and Securitization HTML 60K
Activities (Consolidated VIEs) (Details)
33: R79 Variable Interest Entities and Securitization HTML 116K
Activities (Non-Consolidated VIEs) (Details)
122: R80 Variable Interest Entities and Securitization HTML 89K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
47: R81 Variable Interest Entities and Securitization HTML 81K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
162: R82 Variable Interest Entities and Securitization HTML 60K
Activities (Failed Sales) (Details)
81: R83 Variable Interest Entities and Securitization HTML 76K
Activities (Mortgage Servicing Activities)
(Details)
130: R84 Financing Receivables and Allowance for Credit HTML 123K
Losses (Outstanding Loans and Credit Quality)
(Details)
141: R85 Financing Receivables and Allowance for Credit HTML 80K
Losses (Impaired Loans) (Details)
44: R86 Financing Receivables and Allowance for Credit HTML 135K
Losses (Loans and Lending-related Commitments)
(Details)
48: R87 Financing Receivables and Allowance for Credit HTML 60K
Losses (Employee Loans) (Details)
159: R88 Goodwill and Net Intangible Assets (Narrative) HTML 62K
(Details)
38: R89 Goodwill and Net Intangible Assets (Changes in HTML 79K
Carrying Amount of Goodwill) (Details)
123: R90 Goodwill and Net Intangible Assets (Changes in HTML 93K
Carrying Amount of Intangible Assets) (Details)
114: R91 Goodwill and Net Intangible Assets (Amortizable HTML 64K
Intangible Assets) (Details)
145: R92 Deposits (Details) HTML 79K
113: R93 Borrowings and Other Secured Financings HTML 62K
(Narratives) (Details)
92: R94 Borrowings and Other Secured Financings HTML 64K
(Commercial Paper and Other Short-term Borrowings)
(Details)
153: R95 Borrowings and Other Secured Financings (Long-term HTML 129K
Borrowings) (Details)
88: R96 Borrowings and Other Secured Financings (Other HTML 66K
Secured Financings) (Details)
56: R97 Borrowings and Other Secured Financings (Schedule HTML 90K
of Maturities of Secured Financing) (Details)
103: R98 Borrowings and Other Secured Financings (Schedule HTML 76K
of Failed Sales) (Details)
96: R99 Derivative Instruments and Hedging Activities HTML 89K
(Other Disclosures) (Details)
74: R100 Derivative Instruments and Hedging Activities HTML 108K
(Components of Derivative Products) (Details)
174: R101 Derivative Instruments and Hedging Activities HTML 80K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
143: R102 Derivative Instruments and Hedging Activities HTML 216K
(Fair Value of Derivative Instruments Designated
and Not Designated as Accounting Hedges by Type of
Derivative Contract on a Gross Basis) (Details)
112: R103 Derivative Instruments and Hedging Activities HTML 82K
(Gains or Losses on Derivative Instruments,
Related Hedge Items and Hedge Ineffectiveness)
(Details)
30: R104 Derivative Instruments and Hedging Activities HTML 149K
(Notional and Fair Value of Protection Sold and
Purchased through Credit Default Swaps) (Details)
155: R105 Commitments, Guarantees and Contingencies HTML 143K
(Narrative) (Details)
163: R106 Commitments, Guarantees and Contingencies HTML 89K
(Commitments) (Details)
157: R107 Commitments, Guarantees and Contingencies (Future HTML 76K
Minimum Rental Commitments) (Details)
107: R108 Commitments, Guarantees and Contingencies HTML 89K
(Obligations under Guarantee Arrangements)
(Details)
40: R109 Regulatory Requirements (Narrative) (Details) HTML 82K
134: R110 Regulatory Requirements (Capital Measures) HTML 92K
(Details)
60: R111 Regulatory Requirements (Significant U.S. Bank HTML 81K
Operating Subsidiaries' Capital) (Details)
20: R112 Redeemable Noncontrolling Interests and Total HTML 94K
Equity (Narrative) (Details)
90: R113 Redeemable Noncontrolling Interests and Total HTML 79K
Equity (Redeemable Noncontrolling Interests)
(Details)
82: R114 Redeemable Noncontrolling Interests and Total HTML 63K
Equity (Changes in Shares of Common Stock
Outstanding) (Details)
151: R115 Redeemable Noncontrolling Interests and Total HTML 113K
Equity (Preferred Stock) (Details)
66: R116 Redeemable Noncontrolling Interests and Total HTML 71K
Equity (Components of Accumulated Other
Comprehensive Income (Loss)) (Details)
168: R117 Redeemable Noncontrolling Interests and Total HTML 69K
Equity (Cumulative Foreign Currency Translation
Adjustments, Net of Tax) (Details)
34: R118 Earnings Per Common Share (Calculation of Basic HTML 166K
and Diluted EPS) (Details)
118: R119 Earnings Per Common Share (Antidilutive Securities HTML 57K
Excluded from the Computation of Diluted EPS)
(Details)
140: R120 Interest Income and Interest Expense (Details) HTML 100K
24: R121 Deferred Compensation Plans (Stock-based HTML 82K
Compensation Plans) (Details)
115: R122 Deferred Compensation Plans (Deferred Restricted HTML 89K
Stock Units) (Details)
104: R123 Deferred Compensation Plans (Unvested Restricted HTML 90K
Stock Units) (Details)
27: R124 Deferred Compensation Plans (Stock Options) HTML 137K
(Details)
120: R125 Deferred Compensation Plans (Performance-based HTML 91K
Stock Units) (Details)
170: R126 Deferred Compensation Plans (Deferred Cash-based HTML 71K
Compensation Plans) (Details)
35: R127 Deferred Compensation Plans (2013 Performance Year HTML 81K
Deferred Compensation Awards) (Details)
68: R128 Employee Benefit Plans (Narratives) (Details) HTML 86K
146: R129 Employee Benefit Plans (Net Periodic Benefit HTML 119K
Expense) (Details)
169: R130 Employee Benefit Plans (Reconciliation of Changes HTML 121K
in Benefit Obligation and Fair Value of Plan
Assets) (Details)
99: R131 Employee Benefit Plans (Summary of Funded Status) HTML 89K
(Details)
116: R132 Employee Benefit Plans (Pension Plans with HTML 66K
Projected and Accumulated Benefit Obligations in
Excess of Fair Value of Plan Assets) (Details)
36: R133 Employee Benefit Plans (Assumptions) (Details) HTML 85K
41: R134 Employee Benefit Plans (Fair Value of Net Pension HTML 154K
Plan Assets) (Details)
89: R135 Employee Benefit Plans (Changes in Level 3 Pension HTML 76K
Assets Measured at Fair Value) (Details)
70: R136 Employee Benefit Plans (Expected Benefit Payments HTML 66K
Associated with the Pension and Postretirement
Benefit Plans) (Details)
137: R137 Income Taxes (Provision for (Benefit from) Income HTML 134K
Taxes from Continuing Operations) (Details)
93: R138 Income Taxes (Reconciliation of the Provision for HTML 105K
(Benefit from) Income Taxes and the U.S. Federal
Statutory Income Tax Rate) (Details)
65: R139 Income Taxes (Significant Components of Deferred HTML 117K
Tax Assets and Liabilities) (Details)
94: R140 Income Taxes (U.S. and Non-U.S. Components of HTML 59K
Income Before Income Tax Expense (Benefit))
(Details)
52: R141 Income Taxes (Reconciliation of Unrecognized Tax HTML 79K
Benefits) (Details)
19: R142 Income Taxes (Major Tax Jurisdictions in Which the HTML 55K
Company and Affiliates Operate and the Earliest
Tax Year Subject to Examination) (Details)
148: R143 Segment and Geographic Information (Selected HTML 144K
Financial Information by Segments) (Details)
127: R144 Segment and Geographic Information (Assets by HTML 57K
Segments) (Details)
45: R145 Segment and Geographic Information (Net Revenues HTML 67K
and Total Assets by Geographic Area) (Details)
117: R146 Equity Method Investments (Narratives) (Details) HTML 84K
98: R147 Equity Method Investments (Investees) (Details) HTML 96K
43: R148 Parent Company (Narrative) (Details) HTML 61K
46: R149 Parent Company (Condensed Statements of Financial HTML 156K
Condition) (Details)
132: R150 Parent Company (Condensed Statements of Income and HTML 159K
Comprehensive Income) (Details)
61: R151 Parent Company (Condensed Statements of Cash HTML 170K
Flows) (Details)
22: R152 Quarterly Results (Unaudited) (Details) HTML 181K
108: R153 Subsequent Events (Details) HTML 62K
167: XML IDEA XML File -- Filing Summary XML 293K
25: EXCEL IDEA Workbook of Financial Reports XLSX 915K
69: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 10.35M
12: EX-101.INS XBRL Instance -- ms-20131231 XML 19.13M
14: EX-101.CAL XBRL Calculations -- ms-20131231_cal XML 531K
15: EX-101.DEF XBRL Definitions -- ms-20131231_def XML 3.67M
16: EX-101.LAB XBRL Labels -- ms-20131231_lab XML 6.65M
17: EX-101.PRE XBRL Presentations -- ms-20131231_pre XML 4.70M
13: EX-101.SCH XBRL Schema -- ms-20131231 XSD 763K
165: ZIP XBRL Zipped Folder -- 0001193125-14-067354-xbrl Zip 1.00M
| EX-10.6 |
Exhibit 10.6
AMENDMENT TO
401(k) SAVINGS PLAN
Morgan Stanley & Co. LLC (the “Company”) hereby amends the Morgan Stanley 401(k) Savings Plan (the “Savings Plan”), effective July 1, 2009, as follows:
1. Section 2, Definitions, is amended by deleting the fifth and sixth sentences of the definition of “Testing Compensation” and inserting the following at the end thereof:
“Testing Compensation shall include payments described in Treasury Regulations section 1.415(c)-2(e)(3) paid by the later of 2 1/2 months after severance from employment, or the end of the limitation year that includes the date of severance from employment, if, absent a severance from employment, such payments would have been paid to the Employee while the Employee continued in employment with the Affiliated Group and are regular compensation for services during the Employee’s regular working hours, compensation for services outside regular working hours (such as overtime or shift differential), commissions, bonuses or other similar compensation.”
2. Section 6(i), Qualified Non-Elective and Qualified Matching Contributions, is amended by inserting the following at the end thereof:
“To the extent required under Treasury Regulations sections 1.401(k)-2(a)(6) and 1.401(m)-2(a)(6), for purposes of the ADP test in Sections 5(e)(i)(1) and (2) and the ACP test in Sections 5(g)(i)(1) and (2), Qualified Non-Elective Contributions will not be counted when correcting for a nondiscrimination testing failure above the greater of 5% of Testing Compensation, or two times the Plan’s representative contribution rate for Eligible Employees who are not Highly Compensated Employees. Representative contribution rate shall be determined using the definition in Treasury Regulations sections 1.401(k)-2(a)(6)(iv)(B) and 1.401(m)-2(a)(6)(v)(B), as applicable.”
3. Section 13(b)(ii), Disposition of Excess Amounts, is replaced with following:
“(ii) Disposition of Excess Amounts. If the annual additions otherwise made to the Accounts of a Participant would cause the limitations of Code section 415 that are applicable to that Participant to be exceeded for the limitation year, the amount by which such limitations are exceeded will be corrected in such manner as shall be determined by the Plan Administrator in any manner permitted by law, including the Employee Plans Compliance Resolution System as from time to time amended, or any successor thereto.”
* * * * * * * * *
IN WITNESS WHEREOF, the Company has caused this Amendment to be executed on its behalf as of this 20th day of December, 2013.
| MORGAN STANLEY & CO. LLC | ||
| By: | /s/ Jeffrey Brodsky | |
| Title: | Managing Director – Global Head of Human Resources | |
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 2/25/14 | 424B2, FWP | ||
| For Period end: | 12/31/13 | 11-K, 13F-HR, 424B2, ARS, FWP, SC 13D | ||
| 7/1/09 | 3, 4, 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 8/26/14 SEC UPLOAD¶ 9/22/17 1:36K Morgan Stanley 7/07/14 SEC UPLOAD¶ 9/22/17 1:163K Morgan Stanley |