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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/04/14 Morgan Stanley 10-Q 9/30/14 122:46M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 4.01M
2: EX-10.1 Material Contract HTML 42K
3: EX-10.2 Material Contract HTML 40K
4: EX-12 Statement re: Computation of Ratios HTML 64K
5: EX-15 Letter re: Unaudited Interim Financial Information HTML 44K
6: EX-31.1 Certification -- §302 - SOA'02 HTML 42K
7: EX-31.2 Certification -- §302 - SOA'02 HTML 42K
8: EX-32.1 Certification -- §906 - SOA'02 HTML 37K
9: EX-32.2 Certification -- §906 - SOA'02 HTML 37K
83: R1 Document and Entity Information HTML 64K
63: R2 Consolidated Statements of Financial Condition HTML 172K
78: R3 Consolidated Statements of Financial Condition HTML 105K
(Parenthetical)
87: R4 Consolidated Statements of Income HTML 175K
111: R5 Consolidated Statements of Comprehensive Income HTML 89K
66: R6 Consolidated Statements of Cash Flows HTML 177K
77: R7 Consolidated Statements of Changes in Total Equity HTML 75K
57: R8 Introduction and Basis of Presentation HTML 75K
46: R9 Significant Accounting Policies HTML 60K
113: R10 Wealth Management JV HTML 49K
89: R11 Fair Value Disclosures HTML 1.33M
88: R12 Available for Sale Securities HTML 254K
95: R13 Collateralized Transactions HTML 108K
96: R14 Variable Interest Entities and Securitization HTML 300K
Activities
93: R15 Loans and Allowance for Loan Losses HTML 290K
97: R16 Long-Term Borrowings and Other Secured Financings HTML 58K
79: R17 Derivative Instruments and Hedging Activities HTML 595K
84: R18 Commitments, Guarantees and Contingencies HTML 176K
91: R19 Regulatory Requirements HTML 129K
121: R20 Total Equity HTML 154K
106: R21 Earnings Per Common Share HTML 107K
72: R22 Interest Income and Interest Expense HTML 75K
90: R23 Employee Benefit Plans HTML 55K
75: R24 Income Taxes HTML 55K
36: R25 Segment and Geographic Information HTML 232K
107: R26 Equity Method Investments HTML 53K
117: R27 Subsequent Events HTML 48K
51: R28 Significant Accounting Policies (Policies) HTML 63K
50: R29 Fair Value Disclosures (Tables) HTML 1.29M
55: R30 Available for Sale Securities (Tables) HTML 243K
56: R31 Collateralized Transactions (Tables) HTML 94K
58: R32 Variable Interest Entities and Securitization HTML 254K
Activities (Tables)
24: R33 Loans and Allowance for Loan Losses (Tables) HTML 269K
104: R34 Long-Term Borrowings and Other Secured Financings HTML 52K
(Tables)
70: R35 Derivative Instruments and Hedging Activities HTML 549K
(Tables)
73: R36 Commitments, Guarantees and Contingencies (Tables) HTML 106K
41: R37 Regulatory Requirements (Tables) HTML 98K
120: R38 Total Equity (Tables) HTML 120K
16: R39 Earnings Per Common Share (Tables) HTML 105K
60: R40 Interest Income and Interest Expense (Tables) HTML 74K
110: R41 Employee Benefit Plans (Tables) HTML 52K
38: R42 Segment and Geographic Information (Tables) HTML 226K
49: R43 Introduction and Basis of Presentation (Details) HTML 51K
54: R44 Significant Accounting Policies (Details) HTML 40K
64: R45 Wealth Management JV (Details) HTML 51K
23: R46 Fair Value Disclosures (Assets and Liabilities HTML 271K
Measured at Fair Value on a Recurring Basis)
(Details)
45: R47 Fair Value Disclosures (Changes in Level 3 Assets HTML 257K
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
18: R48 Fair Value Disclosures (Quantitative Information HTML 256K
about and Sensitivity of Significant Unobservable
Inputs Used in Recurring Level 3 Fair Value
Measurements) (Details)
109: R49 Fair Value Disclosures (Fair Value of Investments HTML 86K
that Calculate Net Asset Value) (Details)
37: R50 Fair Value Disclosures (Net Gains (Losses) Due to HTML 59K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
105: R51 Fair Value Disclosures (Short-term and Long-term HTML 43K
Borrowings) (Details)
42: R52 Fair Value Disclosures (Gains (Losses) Due to HTML 39K
Changes in Instrument Specific Credit Risk)
(Details)
61: R53 Fair Value Disclosures (Net Difference between HTML 48K
Contractual Principal Amount and Fair Value)
(Details)
17: R54 Fair Value Disclosures (Assets Measured at Fair HTML 104K
Value on a Nonrecurring Basis) (Details)
21: R55 Fair Value Disclosures (Financial Instruments Not HTML 124K
Carried at FV) (Details)
53: R56 Available for Sale Securities (Schedule of HTML 79K
Available for Sale Securities) (Details)
28: R57 Available for Sale Securities (Schedule of HTML 88K
Available for Sale Securities in an Unrealized
Loss Position) (Details)
114: R58 Available for Sale Securities (Schedule of HTML 115K
Amortized Cost and Fair Value of Available for
Sale Debt Securities by Contractual Date)
(Details)
68: R59 Available for Sale Securities (Schedule of HTML 41K
Proceeds of Sale of Securities Available for Sale)
(Details)
94: R60 Collateralized Transactions (Narrative) (Details) HTML 44K
44: R61 Collateralized Transactions (Balance Sheet HTML 106K
Offsetting) (Details)
47: R62 Collateralized Transactions (Financial Instruments HTML 43K
Owned That Have Been Loaned Or Pledged To
Counterparties) (Details)
102: R63 Collateralized Transactions (Cash And Securities HTML 43K
Deposited With Clearing Organizations Or
Segregated Under Federal And Other Regulations Or
Requirements) (Details)
98: R64 Variable Interest Entities and Securitization HTML 57K
Activities (Narrative) (Details)
71: R65 Variable Interest Entities and Securitization HTML 45K
Activities (Consolidated VIEs) (Details)
100: R66 Variable Interest Entities and Securitization HTML 95K
Activities (Non-Consolidated VIEs) (Details)
43: R67 Variable Interest Entities and Securitization HTML 75K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
76: R68 Variable Interest Entities and Securitization HTML 67K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
116: R69 Variable Interest Entities and Securitization HTML 44K
Activities (Failed Sales) (Details)
20: R70 Variable Interest Entities and Securitization HTML 54K
Activities (Mortgage Servicing Activities)
(Details)
35: R71 Loans and Allowance for Loan Losses (Outstanding HTML 110K
Loans and Credit Quality) (Details)
62: R72 Loans and Allowance for Loan Losses (Impaired HTML 66K
Loans) (Details)
26: R73 Loans and Allowance for Loan Losses (Loans and HTML 126K
Lending-related Commitments) (Details)
119: R74 Loans and Allowance for Loan Losses (Employee HTML 45K
Loans) (Details)
39: R75 Long-Term Borrowings and Other Secured Financings HTML 42K
(Narratives) (Details)
29: R76 Long-Term Borrowings and Other Secured Financings HTML 50K
(Long-term Borrowings) (Details)
34: R77 Long-Term Borrowings and Other Secured Financings HTML 47K
(Other Secured Financings) (Details)
22: R78 Derivative Instruments and Hedging Activities HTML 69K
(Other Disclosures) (Details)
25: R79 Derivative Instruments and Hedging Activities HTML 104K
(Components of Derivative Products) (Details)
85: R80 Derivative Instruments and Hedging Activities HTML 66K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
32: R81 Derivative Instruments and Hedging Activities HTML 210K
(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 61K
(Gains or Losses on Derivative Instruments,
Related Hedge Items and Hedge Ineffectiveness)
(Details)
59: R83 Derivative Instruments and Hedging Activities HTML 129K
(Notional and Fair Value of Protection Sold and
Purchased through Credit Default Swaps) (Details)
92: R84 Commitments, Guarantees and Contingencies HTML 79K
(Narrative) (Details)
99: R85 Commitments, Guarantees and Contingencies HTML 75K
(Commitments) (Details)
31: R86 Commitments, Guarantees and Contingencies HTML 87K
(Obligations under Guarantee Arrangements)
(Details)
33: R87 Regulatory Requirements (Narrative) (Details) HTML 49K
112: R88 Regulatory Requirements (Capital Measures) HTML 77K
(Details)
27: R89 Regulatory Requirements (Significant U.S. Bank HTML 72K
Operating Subsidiaries' Capital) (Details)
86: R90 Total Equity (Narrative) (Details) HTML 67K
82: R91 Total Equity (Preferred Stock) (Details) HTML 68K
103: R92 Total Equity (Components of Accumulated Other HTML 57K
Comprehensive Income (Loss)) (Details)
81: R93 Earnings Per Common Share (Calculation of Basic HTML 117K
and Diluted EPS) (Details)
67: R94 Earnings Per Common Share (Antidilutive Securities HTML 40K
Excluded from the Computation of Diluted EPS)
(Details)
108: R95 Interest Income and Interest Expense (Details) HTML 79K
65: R96 Employee Benefit Plans (Net Periodic Benefit HTML 57K
Expense) (Details)
40: R97 Income Taxes (Reconciliation of the Provision for HTML 54K
(Benefit from) Income Taxes and the U.S. Federal
Statutory Income Tax Rate) (Details)
74: R98 Income Taxes (Investments in Qualified Affordable HTML 44K
Housing Projects) (Details)
69: R99 Segment and Geographic Information (Selected HTML 141K
Financial Information by Segments) (Details)
52: R100 Segment and Geographic Information (Assets by HTML 43K
Segments) (Details)
122: R101 Segment and Geographic Information (Net Revenues HTML 42K
by Geographic Area) (Details)
101: R102 Equity Method Investments (Narratives) (Details) HTML 57K
80: R103 Subsequent Events (Details) HTML 56K
118: XML IDEA XML File -- Filing Summary XML 196K
19: EXCEL IDEA Workbook of Financial Reports XLSX 651K
48: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 8.10M
10: EX-101.INS XBRL Instance -- ms-20140930 XML 16.06M
12: EX-101.CAL XBRL Calculations -- ms-20140930_cal XML 508K
13: EX-101.DEF XBRL Definitions -- ms-20140930_def XML 2.97M
14: EX-101.LAB XBRL Labels -- ms-20140930_lab XML 5.47M
15: EX-101.PRE XBRL Presentations -- ms-20140930_pre XML 3.77M
11: EX-101.SCH XBRL Schema -- ms-20140930 XSD 560K
30: ZIP XBRL Zipped Folder -- 0001193125-14-396227-xbrl Zip 769K
| EX-10.1 |
EXHIBIT 10.1
AMENDMENT TO
SUPPLEMENTAL EXECUTIVE RETIREMENT AND EXCESS PLAN
Morgan Stanley & Co. LLC (the “Company”), pursuant to authority granted to it by Morgan Stanley Domestic Holdings, Inc. and Morgan Stanley, hereby amends the Morgan Stanley Supplemental Executive Retirement and Excess Plan (the “SEREP”) as follows:
1. Effective September 30, 2014, a new Appendix F, Freezing of the SEREP, is added to the SEREP as follows:
“APPENDIX F
FREEZING OF THE SEREP
F.1 Intent. It is the intention of the Corporation that the Plan will be frozen after September 30, 2014 as set forth in this Appendix F. This Appendix F also provides (i) certain transitional provisions for individuals near eligibility to participate in the SERP portion of the Plan who remain employed by the Firm until age 55 or whose employment with the Firm is terminated involuntarily before age 55, and (ii) adjustments to protect Plan benefits from erosion (after June 30, 2014) to the extent provided in this Appendix F. Nothing in this Appendix F is intended to alter the timing or form of payment of any Participant’s Benefit.
Except to the extent provided in F.7, the provisions of this Appendix F apply notwithstanding any other provisions in the Plan. In the event of any conflict between the terms of Appendix F and any other Plan provisions, the terms of Appendix F shall govern.
The provisions of this Appendix F shall be interpreted consistently with the Corporation’s intent.
F.2 No New Participants. No individual may become a Participant in the Plan on or after October 1, 2014 except as follows: an individual who otherwise meets the participation requirements for SERP Benefits under Paragraph III of the Plan shall become a Participant who is entitled to a SERP Benefit under F.4 if he or she (i) attains age 55 while actively employed by the Firm, or (ii) is terminated involuntarily by the Firm on or after October 1, 2014 and prior to the date he or she attains age 55 other than for a cancellation event as defined in the Participant’s most recent annual deferred compensation award certificate. Such a Participant is referred to in this Appendix F as a ‘Grandfathered Participant.’
For avoidance of doubt, no individual may first become eligible for an Excess Benefit under the Plan on or after January 1, 2004.
F.3 No New Benefit Accruals. Effective October 1, 2014, no additional benefits may accrue under the Plan (including SERP Benefits and Excess Benefits), except as provided in F.4 below with respect to Grandfathered Participants.
F.4 SERP Benefits for Grandfathered Participants. A Grandfathered Participant who enters the Plan on or after October 1, 2014 pursuant to F.2 above shall be entitled only to the amount of SERP Benefits he or she would have accrued under Paragraph IV of the Plan through September 30, 2014, determined as if he or she had been a Participant in the SERP Benefit portion of the Plan on September 30, 2014. The reduction factors set forth in Paragraph IV.D of the Plan shall apply if such Grandfathered Participant’s SERP Benefit commences before age 60.
F.5 No Additional Future Offsets. No amount described in Paragraph IV.C or Paragraph V.B of the Plan that is accrued on or after July 1, 2014, shall be applied as an offset against any SERP Benefit or Excess Benefit.
F.6 Special Early Retirement Reduction Factors for Excess Benefit. For the avoidance of doubt, in the event a Participant with an Excess Benefit is involuntarily terminated by the Firm on or after October 1, 2014 and prior to the date on which such Participant attains age 55 other than for a cancellation event as defined in the Participant’s most recent annual deferred compensation award certificate, such Participant’s Excess Benefit under the Plan shall be calculated with reference to the early retirement reduction factors set forth in Exhibit A of the Pension Plan, without regard to the special reduction provision for certain Grandfathered MS Participants set forth in Section 4.4(d) of Exhibit A of the Pension Plan.
F.7 Management Committee Members. Notwithstanding the provisions of F.1 through F.6 above, the provisions of Paragraph XIII of the Plan shall supersede any conflicting provisions of this Appendix F, with respect to any individual described in Paragraph XIII of the Plan.”
* * * * * * * * *
IN WITNESS WHEREOF, the Company has caused this Amendment to be executed on its behalf as of this 29th day of September, 2014.
| MORGAN STANLEY & CO. LLC | ||
| By: | /s/ JEFFREY BRODSKY | |
| Title: | Chief Human Resources Officer | |
2
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 11/4/14 | 4, 424B2, FWP | ||
| 10/1/14 | 424B2, FWP | |||
| For Period end: | 9/30/14 | 13F-HR, 13F-HR/A, 424B2, FWP | ||
| 7/1/14 | 4, 424B2, FWP | |||
| 6/30/14 | 10-Q, 13F-HR, 3, 4, 4/A, 424B2, FWP | |||
| 1/1/04 | ||||
| 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 |