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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/06/14 Morgan Stanley 10-Q 3/31/14 126:40M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 3.28M
2: EX-4.1 Instrument Defining the Rights of Security Holders HTML 47K
3: EX-10.1 Material Contract HTML 114K
4: EX-10.2 Material Contract HTML 125K
5: EX-10.3 Material Contract HTML 144K
6: EX-12 Statement re: Computation of Ratios HTML 79K
7: EX-15 Letter re: Unaudited Interim Financial Information HTML 46K
8: EX-31.1 Certification -- §302 - SOA'02 HTML 42K
9: EX-31.2 Certification -- §302 - SOA'02 HTML 42K
10: EX-32.1 Certification -- §906 - SOA'02 HTML 38K
11: EX-32.2 Certification -- §906 - SOA'02 HTML 38K
86: R1 Document and Entity Information HTML 65K
65: R2 Consolidated Statements of Financial Condition HTML 173K
81: R3 Consolidated Statements of Financial Condition HTML 107K
(Parenthetical)
90: R4 Consolidated Statements of Income HTML 173K
115: R5 Consolidated Statements of Comprehensive Income HTML 87K
69: R6 Consolidated Statements of Cash Flows HTML 174K
80: R7 Consolidated Statements of Changes in Total Equity HTML 68K
59: R8 Introduction and Basis of Presentation HTML 70K
48: R9 Significant Accounting Policies HTML 55K
117: R10 Wealth Management JV. HTML 47K
92: R11 Fair Value Disclosures HTML 1.12M
91: R12 Securities Available for Sale HTML 252K
98: R13 Collateralized Transactions HTML 109K
99: R14 Variable Interest Entities and Securitization HTML 299K
Activities
96: R15 Financing Receivables and Allowance for Credit HTML 291K
Losses
100: R16 Goodwill and Net Intangible Assets HTML 77K
82: R17 Long-Term Borrowings and Other Secured Financings HTML 62K
87: R18 Derivative Instruments and Hedging Activities HTML 588K
94: R19 Commitments, Guarantees and Contingencies HTML 166K
125: R20 Regulatory Requirements HTML 119K
109: R21 Total Equity HTML 104K
75: R22 Earnings Per Common Share HTML 80K
93: R23 Interest Income and Interest Expense HTML 61K
78: R24 Employee Benefit Plans HTML 48K
38: R25 Income Taxes HTML 50K
110: R26 Segment and Geographic Information HTML 145K
121: R27 Equity Method Investments HTML 50K
53: R28 Subsequent Events HTML 52K
52: R29 Significant Accounting Policies (Policy) HTML 55K
57: R30 Fair Value Disclosures (Tables) HTML 1.03M
58: R31 Securities Available for Sale (Tables) HTML 243K
60: R32 Collateralized Transactions (Tables) HTML 95K
27: R33 Variable Interest Entities and Securitization HTML 254K
Activities (Tables)
107: R34 Financing Receivables and Allowance for Credit HTML 270K
Losses (Tables)
73: R35 Goodwill and Net Intangible Assets (Tables) HTML 71K
76: R36 Long-Term Borrowings and Other Secured Financings HTML 55K
(Tables)
43: R37 Derivative Instruments and Hedging Activities HTML 540K
(Tables)
124: R38 Commitments, Guarantees and Contingencies (Tables) HTML 109K
18: R39 Regulatory Requirements (Tables) HTML 74K
62: R40 Total Equity (Tables) HTML 81K
114: R41 Earnings Per Common Share (Tables) HTML 77K
40: R42 Interest Income and Interest Expense (Tables) HTML 60K
51: R43 Employee Benefit Plans (Tables) HTML 47K
56: R44 Segment and Geographic Information (Tables) HTML 141K
66: R45 Introduction and Basis of Presentation (Details) HTML 50K
26: R46 Wealth Management JV. (Details) HTML 51K
47: R47 Fair Value Disclosures (Assets and Liabilities HTML 275K
Measured at Fair Value on a Recurring Basis)
(Details)
20: R48 Fair Value Disclosures (Changes in Level 3 Assets HTML 220K
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
112: R49 Fair Value Disclosures (Quantitative Information HTML 235K
about and Sensitivity of Significant Unobservable
Inputs Used in Recurring Level 3 Fair Value
Measurements) (Details)
39: R50 Fair Value Disclosures (Fair Value of Investments HTML 87K
that Calculate Net Asset Value) (Details)
108: R51 Fair Value Disclosures (Net Gains (Losses) Due to HTML 49K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
44: R52 Fair Value Disclosures (Short-term and Long-term HTML 44K
Borrowings) (Details)
63: R53 Fair Value Disclosures (Gains (Losses) Due to HTML 40K
Changes in Instrument Specific Credit Risk)
(Details)
19: R54 Fair Value Disclosures (Net Difference between HTML 49K
Contractual Principal Amount and Fair Value)
(Details)
23: R55 Fair Value Disclosures (Assets Measured at Fair HTML 96K
Value on a Nonrecurring Basis) (Details)
55: R56 Fair Value Disclosures (Financial Instruments Not HTML 124K
Carried at FV) (Details)
31: R57 Securities Available for Sale (Schedule of HTML 81K
Available for Sale Securities) (Details)
118: R58 Securities Available for Sale (Schedule of HTML 90K
Available for Sale Securities in an Unrealized
Loss Position) (Details)
71: R59 Securities Available for Sale (Schedule of HTML 119K
Amortized Cost and Fair Value of Available for
Sale Debt Securities by Contractual Date)
(Details)
97: R60 Securities Available for Sale (Schedule of HTML 42K
Proceeds of Sale of Securities Available for Sale)
(Details)
46: R61 Collateralized Transactions (Narrative) (Details) HTML 44K
49: R62 Collateralized Transactions (Balance Sheet HTML 108K
Offsetting) (Details)
105: R63 Collateralized Transactions (Financial Instruments HTML 44K
Owned That Have Been Loaned Or Pledged To
Counterparties) (Details)
101: R64 Collateralized Transactions (Cash And Securities HTML 44K
Deposited With Clearing Organizations Or
Segregated Under Federal And Other Regulations Or
Requirements) (Details)
74: R65 Variable Interest Entities and Securitization HTML 58K
Activities (Narrative) (Details)
103: R66 Variable Interest Entities and Securitization HTML 46K
Activities (Consolidated VIEs) (Details)
45: R67 Variable Interest Entities and Securitization HTML 97K
Activities (Non-Consolidated VIEs) (Details)
79: R68 Variable Interest Entities and Securitization HTML 77K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
120: R69 Variable Interest Entities and Securitization HTML 69K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
22: R70 Variable Interest Entities and Securitization HTML 46K
Activities (Failed Sales) (Details)
37: R71 Variable Interest Entities and Securitization HTML 59K
Activities (Mortgage Servicing Activities)
(Details)
64: R72 Financing Receivables and Allowance for Credit HTML 112K
Losses (Outstanding Loans and Credit Quality)
(Details)
29: R73 Financing Receivables and Allowance for Credit HTML 70K
Losses (Impaired Loans) (Details)
123: R74 Financing Receivables and Allowance for Credit HTML 120K
Losses (Loans and Lending-related Commitments)
(Details)
41: R75 Financing Receivables and Allowance for Credit HTML 46K
Losses (Employee Loans) (Details)
32: R76 Goodwill and Net Intangible Assets (Changes in HTML 55K
Carrying Amount of Goodwill) (Details)
36: R77 Goodwill and Net Intangible Assets (Changes in HTML 62K
Carrying Amount of Intangible Assets) (Details)
24: R78 Long-Term Borrowings and Other Secured Financings HTML 44K
(Narratives) (Details)
28: R79 Long-Term Borrowings and Other Secured Financings HTML 51K
(Long-term Borrowings) (Details)
88: R80 Long-Term Borrowings and Other Secured Financings HTML 48K
(Other Secured Financings) (Details)
34: R81 Derivative Instruments and Hedging Activities HTML 68K
(Other Disclosures) (Details)
119: R82 Derivative Instruments and Hedging Activities HTML 105K
(Components of Derivative Products) (Details)
61: R83 Derivative Instruments and Hedging Activities HTML 68K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
95: R84 Derivative Instruments and Hedging Activities HTML 211K
(Fair Value of Derivative Instruments Designated
and Not Designated as Accounting Hedges by Type of
Derivative Contract on a Gross Basis) (Details)
102: R85 Derivative Instruments and Hedging Activities HTML 59K
(Gains or Losses on Derivative Instruments,
Related Hedge Items and Hedge Ineffectiveness)
(Details)
33: R86 Derivative Instruments and Hedging Activities HTML 129K
(Notional and Fair Value of Protection Sold and
Purchased through Credit Default Swaps) (Details)
35: R87 Commitments, Guarantees and Contingencies HTML 74K
(Narrative) (Details)
116: R88 Commitments, Guarantees and Contingencies HTML 76K
(Commitments) (Details)
30: R89 Commitments, Guarantees and Contingencies HTML 91K
(Obligations under Guarantee Arrangements)
(Details)
89: R90 Regulatory Requirements (Narrative) (Details) HTML 64K
85: R91 Regulatory Requirements (Capital Measures) HTML 63K
(Details)
106: R92 Regulatory Requirements (Significant U.S. Bank HTML 56K
Operating Subsidiaries' Capital) (Details)
84: R93 Total Equity (Narrative) (Details) HTML 48K
70: R94 Total Equity (Preferred Stock) (Details) HTML 61K
111: R95 Total Equity (Components of Accumulated Other HTML 56K
Comprehensive Income (Loss)) (Details)
67: R96 Earnings Per Common Share (Calculation of Basic HTML 110K
and Diluted EPS) (Details)
42: R97 Earnings Per Common Share (Antidilutive Securities HTML 41K
Excluded from the Computation of Diluted EPS)
(Details)
77: R98 Interest Income and Interest Expense (Details) HTML 75K
72: R99 Employee Benefit Plans (Net Periodic Benefit HTML 54K
Expense) (Details)
54: R100 Income Taxes (Reconciliation of the Provision for HTML 46K
(Benefit from) Income Taxes and the U.S. Federal
Statutory Income Tax Rate) (Details)
126: R101 Segment and Geographic Information (Selected HTML 119K
Financial Information by Segments) (Details)
104: R102 Segment and Geographic Information (Assets by HTML 43K
Segments) (Details)
83: R103 Segment and Geographic Information (Net Revenues HTML 43K
and Total Assets by Geographic Area) (Details)
25: R104 Equity Method Investments (Narratives) (Details) HTML 55K
113: R105 Subsequent Events (Details) HTML 77K
122: XML IDEA XML File -- Filing Summary XML 200K
21: EXCEL IDEA Workbook of Financial Reports XLSX 602K
50: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 7.00M
12: EX-101.INS XBRL Instance -- ms-20140331 XML 13.38M
14: EX-101.CAL XBRL Calculations -- ms-20140331_cal XML 432K
15: EX-101.DEF XBRL Definitions -- ms-20140331_def XML 2.60M
16: EX-101.LAB XBRL Labels -- ms-20140331_lab XML 5.14M
17: EX-101.PRE XBRL Presentations -- ms-20140331_pre XML 3.40M
13: EX-101.SCH XBRL Schema -- ms-20140331 XSD 547K
68: ZIP XBRL Zipped Folder -- 0001193125-14-184868-xbrl Zip 689K
| EX-4.1 |
Exhibit 4.1
NINTH SUPPLEMENTAL SENIOR INDENTURE
BETWEEN
MORGAN STANLEY
AND
THE BANK OF NEW YORK MELLON
as successor to JPMorgan Chase Bank, N.A.
(formerly known as JPMorgan Chase Bank), Trustee
Dated as of March 10, 2014
SUPPLEMENTAL TO SENIOR INDENTURE DATED NOVEMBER 1, 2004.
THIS NINTH SUPPLEMENTAL SENIOR INDENTURE dated as of March 10, 2014 between MORGAN STANLEY, a Delaware corporation (the “Issuer”), and THE BANK OF NEW YORK MELLON as successor to JPMorgan Chase Bank, N.A. (formerly known as JPMorgan Chase Bank), as trustee (the “Trustee”),
W I T N E S S E T H :
WHEREAS, the Issuer and the Trustee are parties to that certain Senior Indenture dated as of November 1, 2004 (the “Indenture”);
WHEREAS, the Issuer established and on March 5, 2014 issued its Medium-Term Notes, Series F, PLUS Based on the Performance of a Basket of Six Commodities due September 3, 2014 (the “Notes”);
WHEREAS, Section 8.01 of the Indenture provides that, without the consent of the Holders of any Securities, the Issuer, when authorized by a resolution of its Board of Directors, and the Trustee may enter into indentures supplemental to the Indenture for the purpose of, among other things, correcting any provision contained therein, subject to the conditions set forth therein; provided that no such action shall adversely affect the interests of the Holders of the Securities;
WHEREAS, the Issuer desires to modify certain provisions of the Notes to correct the Maximum Payment at Maturity with respect to the Notes, which corrected Maximum Payment at Maturity shall be higher than the Maximum Payment at Maturity as originally stated and, therefore, will not adversely affect the interests of the Holders of the Notes;
WHEREAS, the entry into this Ninth Supplemental Senior Indenture by the parties hereto is in all respects authorized by the provisions of the Indenture; and
WHEREAS, all things necessary to make this Ninth Supplemental Senior Indenture a valid indenture and agreement according to its terms have been done;
NOW, THEREFORE:
In consideration of the premises and the purchases of the Securities by the holders thereof, the Issuer and the Trustee mutually covenant and agree for the equal and proportionate benefit of the respective holders from time to time of the Notes as follows:
2
ARTICLE 1
Section 1.01. Amendment of the Notes.
(i) The definition of Maximum Payment at Maturity within the Notes is hereby amended by deleting the existing definition in its entirety and inserting in lieu thereof the following:
| Maximum Payment at Maturity | $1,200 per Stated Principal Amount (120% of the Stated Principal Amount). |
SECTION 1.02. Exchange of the Notes. The Trustee is authorized to exchange the original certificate dated March 5, 2014 evidencing the Notes for the duly executed and authenticated certificate evidencing the amended terms of the Notes. Upon such exchange, the Trustee shall promptly cancel and dispose of such original Notes in accordance with Section 2.10 of the Indenture. Failure to exchange such original Notes for such amended Notes in accordance with this Section will not impair the validity of or otherwise affect the Notes, as amended.
ARTICLE 2
Miscellaneous Provisions
Section 2.01. Further Assurances. The Issuer will, upon request by the Trustee, execute and deliver such further instruments and do such further acts as may reasonably be necessary or proper to carry out more effectively the purposes of this Ninth Supplemental Senior Indenture.
Section 2.02. Other Terms of Indenture. Except insofar as herein otherwise expressly provided, all provisions, terms and conditions of the Indenture are in all respects ratified and confirmed and shall remain in full force and effect.
Section 2.03. Terms Defined. All terms defined elsewhere in the Indenture shall have the same meanings when used herein.
Section 2.04. Governing Law. This Ninth Supplemental Senior Indenture shall be deemed to be a contract under the laws of the State of New York, and for all purposes shall be construed in accordance with the laws of such State, except as may otherwise be required by mandatory provisions of law.
Section 2.05. Counterparts. This Ninth Supplemental Senior Indenture may be executed in any number of counterparts, each of which shall be an original; but such counterparts shall together constitute but one and the same instrument.
3
Section 2.06. Responsibility of the Trustee. The recitals contained herein shall be taken as the statements of the Issuer, and the Trustee assumes no responsibility for the correctness of the same. The Trustee makes no representations as to the validity or sufficiency of this Ninth Supplemental Senior Indenture.
4
IN WITNESS WHEREOF, the parties hereto have caused this Ninth Supplemental Senior Indenture to be duly executed as of March 10, 2014.
| MORGAN STANLEY | ||||
| By: | /s/ SU-TING FU | |||
| Name: | Su-Ting Fu | |||
| Title: | Authorized Signatory | |||
| THE BANK OF NEW YORK MELLON, as TRUSTEE | ||||
| By: | /s/ SHERMA THOMAS | |||
| Name: | Sherma Thomas | |||
| Title: | Senior Associate | |||
5
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 9/3/14 | 424B2, FWP | |||
| Filed on: | 5/6/14 | 424B2, FWP | ||
| For Period end: | 3/31/14 | 13F-HR, 424B2, ARS, FWP | ||
| 3/10/14 | 424B2, 424B8, FWP, SC 13G/A | |||
| 3/5/14 | FWP, SC 13G | |||
| 11/1/04 | ||||
| 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 2/22/24 Morgan Stanley 10-K 12/31/23 224:45M 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 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 |