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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/28/11 Morgan Stanley 10-K 12/31/10 194:59M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 4.52M
4: EX-10.19 Amendment to Morgan Stanley Supplemental Executive HTML 62K
Retirement and Excess Plan
2: EX-10.6 Amendment to Morgan Stanley 401(K) Plan HTML 82K
3: EX-10.8 Amendment to Morgan Stanley 401(K) Savings Plan HTML 79K
6: EX-21 Subsidiaries of Morgan Stanley HTML 371K
7: EX-23.1 Consent of Deloitte & Touche LLP. HTML 66K
5: EX-12 Statement Re: Computation of Ratio of Earnings to HTML 94K
Fixed Charges
8: EX-31.1 Rule 13A-14(A) Certification of Chief Executive HTML 62K
Officer
9: EX-31.2 Rule 13A-14(A) Certification of Chief Financial HTML 62K
Officer
10: EX-32.1 Section 1350 Certification of Chief Executive HTML 59K
Officer
11: EX-32.2 Section 1350 Certification of Chief Financial HTML 59K
Officer
143: XML IDEA XML File -- Definitions and References XML 599K
171: XML IDEA XML File -- Filing Summary XML 1.02M
162: XML.R1 Document and Entity Information XML 261K
163: XML.R2 Consolidated Statements of Financial Condition XML 687K
87: XML.R3 Consolidated Statements of Financial Condition XML 351K
(Parenthetical)
104: XML.R4 Consolidated Statements of Income XML 771K
140: XML.R5 Consolidated Statements of Comprehensive Income XML 255K
134: XML.R6 Consolidated Statements of Comprehensive Income XML 166K
(Parenthetical)
183: XML.R7 Consolidated Statements of Cash Flows XML 969K
46: XML.R8 Consolidated Statements of Cash Flows XML 137K
(Parenthetical)
133: XML.R9 Consolidated Statements of Changes in Total Equity XML 1.54M
37: XML.R10 Introduction and Basis of Presentation XML 105K
35: XML.R11 Summary of Significant Accounting Policies XML 149K
86: XML.R12 Morgan Stanley Smith Barney Holdings LLC XML 175K
153: XML.R13 Fair Value Disclosures XML 1.01M
91: XML.R14 Securities Available for Sale XML 118K
97: XML.R15 Collateralized Transactions XML 110K
123: XML.R16 Variable Interest Entities and Securitization XML 311K
Activities
192: XML.R17 Financing Receivables XML 99K
71: XML.R18 Goodwill and Net Intangible Assets XML 205K
18: XML.R19 Deposits XML 97K
102: XML.R20 Borrowings and Other Secured Financings XML 209K
150: XML.R21 Derivative Instruments and Hedging Activities XML 432K
55: XML.R22 Commitments, Guarantees and Contingencies XML 212K
141: XML.R23 Regulatory Requirements XML 130K
98: XML.R24 Total Equity XML 180K
182: XML.R25 Earnings per Common Share XML 194K
155: XML.R26 Interest Income and Interest Expense XML 123K
108: XML.R27 Sale of Bankruptcy Claims Related to a Derivative XML 86K
Counterparty
124: XML.R28 Other Revenues XML 102K
33: XML.R29 Employee Stock-Based Compensation Plans XML 168K
42: XML.R30 Employee Benefit Plans XML 493K
59: XML.R31 Income Taxes XML 201K
81: XML.R32 Segment and Geographic Information XML 360K
122: XML.R33 Equity Method Investments XML 100K
154: XML.R34 Discontinued Operations XML 126K
25: XML.R35 Parent Company XML 272K
47: XML.R36 Quarterly Results (Unaudited) XML 205K
166: XML.R37 Subsequent Events XML 88K
180: XML.R38 Summary of Significant Accounting Policies XML 254K
(Policy)
110: XML.R39 Morgan Stanley Smith Barney Holdings LLC (Tables) XML 199K
189: XML.R40 Fair Value Disclosures (Tables) XML 984K
48: XML.R41 Securities Available for Sale (Tables) XML 135K
191: XML.R42 Collateralized Transactions (Tables) XML 107K
63: XML.R43 Variable Interest Entities and Securitization XML 302K
Activities (Tables)
21: XML.R44 Financing Receivables (Tables) XML 80K
60: XML.R45 Goodwill and Net Intangible Assets (Tables) XML 210K
149: XML.R46 Deposits (Tables) XML 101K
177: XML.R47 Borrowings and Other Secured Financings (Tables) XML 238K
95: XML.R48 Derivative Instruments and Hedging Activities XML 434K
(Tables)
66: XML.R49 Commitments, Guarantees and Contingencies (Tables) XML 190K
121: XML.R50 Regulatory Requirements (Tables) XML 120K
31: XML.R51 Total Equity (Tables) XML 175K
129: XML.R52 Earnings per Common Share (Tables) XML 200K
69: XML.R53 Interest Income and Interest Expense (Tables) XML 122K
45: XML.R54 Other Revenues (Tables) XML 101K
174: XML.R55 Employee Stock-Based Compensation Plans (Tables) XML 187K
168: XML.R56 Employee Benefit Plans (Tables) XML 544K
85: XML.R57 Income Taxes (Tables) XML 220K
52: XML.R58 Segment and Geographic Information (Tables) XML 382K
159: XML.R59 Equity Method Investments (Tables) XML 87K
41: XML.R60 Discontinued Operations (Tables) XML 125K
135: XML.R61 Parent Company (Tables) XML 276K
130: XML.R62 Quarterly Results (Unaudited) (Tables) XML 203K
167: XML.R63 Introduction and Basis of Presentation (Narrative) XML 342K
(Details)
161: XML.R64 Summary of Significant Accounting Policies XML 1.44M
(Narrative) (Details)
185: XML.R65 Morgan Stanley Smith Barney Holdings LLC (Smith XML 878K
Barney) (Details)
50: XML.R66 Morgan Stanley Smith Barney Holdings LLC (Citi XML 255K
Managed Futures) (Details)
84: XML.R67 Morgan Stanley Smith Barney Holdings LLC (Pro XML 1.64M
forma Condensed Combined Financial Information
Presents Results of Operations if Closing of MSSB
and Citi Managed Futures had been Completed)
(Details)
117: XML.R68 Fair Value Disclosures (Narrative) (Details) XML 796K
100: XML.R69 Fair Value Disclosures (Assets and Liabilities XML 5.38M
Measured at Fair Value on a Recurring Basis)
(Details)
120: XML.R70 Fair Value Disclosures (Changes in Level 3 Assets XML 6.16M
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
190: XML.R71 Fair Value Disclosures (Fair Value of Investments XML 523K
that Calculate Net Asset Value) (Details)
51: XML.R72 Fair Value Disclosures (Net Gains (Losses) due to XML 732K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
64: XML.R73 Fair Value Disclosures (Gains (Losses) Due to XML 261K
Changes in Instrument Specific Credit Spreads)
(Details)
58: XML.R74 Fair Value Disclosures (Amount by Which XML 135K
Contractual Principal Amount Exceeds Fair Value)
(Details)
113: XML.R75 Fair Value Disclosures (Assets Measured at Fair XML 694K
Value on a Non-Recurring Basis for which the
Company Recognized an Impairment Charge) (Details)
126: XML.R76 Securities Available for Sale (Schedule of XML 114K
Available for Sale Securities) (Details)
107: XML.R77 Securities Available for Sale (Schedule of XML 97K
Available for Sale Securities in an Unrealized
Loss Position) (Details)
96: XML.R78 Securities Available for Sale (Schedule of Fair XML 154K
Value of Available for Sale Debt Securities by
Contractual Date) (Details)
49: XML.R79 Securities Available for Sale (Schedule of XML 84K
Proceeds of Sale of Securities Available for Sale)
(Details)
23: XML.R80 Collateralized Transactions (Narrative) (Details) XML 140K
115: XML.R81 Collateralized Transactions (Financial Instruments XML 221K
Owned that have been Loaned or Pledged to
Counterparties) (Details)
83: XML.R82 Collateralized Transactions (Cash and Securities XML 116K
Deposited with Clearing Organizations or
Segregated Under Federal and Other Regulations or
Requirements) (Details)
106: XML.R83 Variable Interest Entities and Securitization XML 438K
Activities (Narrative) (Details)
146: XML.R84 Variable Interest Entities and Securitization XML 330K
Activities (Consolidated VIEs) (Details)
139: XML.R85 Variable Interest Entities and Securitization XML 1.98M
Activities (Non-consolidated VIEs) (Details)
73: XML.R86 Variable Interest Entities and Securitization XML 558K
Activities (Information Regarding SPEs) (Details)
152: XML.R87 Variable Interest Entities and Securitization XML 358K
Activities (Transfers of Assets Treated as Secured
Financings) (Details)
136: XML.R88 Variable Interest Entities and Securitization XML 409K
Activities (Mortgage Servicing Activities for
SPEs) (Details)
57: XML.R89 Financing Receivables (Narrative) (Details) XML 239K
94: XML.R90 Financing Receivables (Summary of Financing XML 168K
Receivables) (Details)
138: XML.R91 Goodwill and Net Intangible Assets (Narrative) XML 139K
(Details)
70: XML.R92 Goodwill and Net Intangible Assets (Changes in XML 533K
Carrying Amount of Goodwill) (Details)
157: XML.R93 Goodwill and Net Intangible Assets (Changes in XML 677K
Carrying Amount of Intangible Assets) (Details)
78: XML.R94 Goodwill and Net Intangible Assets (Amortizable XML 393K
Intangible Assets) (Details)
145: XML.R95 Deposits (Narrative) (Details) XML 135K
116: XML.R96 Deposits (Deposits) (Details) XML 124K
24: XML.R97 Deposits (Interest Bearing Deposits Maturing Over XML 118K
Next Five Years) (Details)
76: XML.R98 Borrowings and Other Secured Financings XML 524K
(Narrative) (Details)
151: XML.R99 Borrowings and Other Secured Financings XML 143K
(Commercial Paper and Other Short-term Borrowings)
(Details)
43: XML.R100 Borrowings and Other Secured Financings (Long-term XML 1.04M
Borrowings - Maturities and Terms) (Details)
109: XML.R101 Borrowings and Other Secured Financings XML 127K
(Components of Long-Term Borrowings) (Details)
125: XML.R102 Borrowings and Other Secured Financings (Effective XML 131K
Average Borrowing Rate) (Details)
165: XML.R103 Borrowings and Other Secured Financings (Other XML 346K
Secured Financing) (Details)
194: XML.R104 Borrowings and Other Secured Financings (Schedule XML 664K
of Maturities of Secured Financing) (Details)
67: XML.R105 Borrowings and Other Secured Financings (Schedule XML 265K
of Failed Sales) (Details)
26: XML.R106 Derivative Instruments and Hedging Activities XML 461K
(Narrative) (Details)
72: XML.R107 Derivative Instruments and Hedging Activities XML 182K
(Derivatives on a Net of Counterparty and Cash
Collateral Basis) (Details)
82: XML.R108 Derivative Instruments and Hedging Activities XML 1.57M
(Summary by Counterparty Credit Rating and
Remaining Contract Maturity of the Fair Value of
OTC Derivatives in a Gain Position) (Details)
39: XML.R109 Derivative Instruments and Hedging Activities XML 1.12M
(Fair Value of Derivative Instruments Designated
and Not Designated as Accounting Hedges by Type of
Derivative Contract on a Gross Basis) (Details)
173: XML.R110 Derivative Instruments and Hedging Activities XML 667K
(Summary of Gains or Losses Reported on Derivative
Instruments Designated and Not Designated as
Accounting Hedges) (Details)
170: XML.R111 Derivative Instruments and Hedging Activities XML 3.39M
(Protection Sold through Credit Default Swaps and
Credit-Linked Notes) (Details)
30: XML.R112 Commitments, Guarantees and Contingencies XML 748K
(Narrative) (Details)
88: XML.R113 Commitments, Guarantees and Contingencies XML 1.28M
(Commitments by Period of Expiration) (Details)
105: XML.R114 Commitments, Guarantees and Contingencies (Future XML 117K
Minimum Rental Commitments for Premises and
Equipment) (Details)
142: XML.R115 Commitments, Guarantees and Contingencies (Future XML 117K
Minimum Rental Commitments for Commodities
Business) (Details)
32: XML.R116 Commitments, Guarantees and Contingencies XML 1.35M
(Obligations under Guarantee Arrangements)
(Details)
184: XML.R117 Regulatory Requirements (Narrative) (Details) XML 222K
118: XML.R118 Regulatory Requirements (Capital Measures) XML 188K
(Details)
101: XML.R119 Regulatory Requirements (Significant U.S. Bank XML 299K
Operating Subsidiaries' Capital) (Details)
29: XML.R120 Total Equity (Narrative) (Details) XML 2.57M
148: XML.R121 Total Equity (Changes in Shares of Common Stock XML 237K
Outstanding) (Details)
131: XML.R122 Total Equity (Preferred Stock Outstanding) XML 359K
(Details)
77: XML.R123 Total Equity (Components of Accumulated Other XML 135K
Comprehensive Income (Loss)) (Details)
65: XML.R124 Total Equity (Cumulative Foreign Currency XML 125K
Translation Adjustments, Net of Tax) (Details)
93: XML.R125 Total Equity (Changes in Ownership in XML 477K
Subsidiaries) (Details)
187: XML.R126 Earnings per Common Share (Calculation of Basic XML 1.75M
and Diluted EPS) (Details)
112: XML.R127 Earnings per Common Share (Antidilutive Securities XML 363K
Excluded From the Computation of Diluted EPS)
(Details)
114: XML.R128 Interest Income and Interest Expense (Details) XML 658K
160: XML.R129 Sale of Bankruptcy Claims Related to a Derivative XML 109K
Counterparty (Narrative) (Details)
132: XML.R130 Other Revenues (Details of Other Revenues) XML 250K
(Details)
20: XML.R131 Employee Stock-Based Compensation Plans XML 503K
(Narrative) (Details)
164: XML.R132 Employee Stock-Based Compensation Plans XML 362K
(Components of Stock-based Compensation Expense)
(Details)
61: XML.R133 Employee Stock-Based Compensation Plans (Activity XML 169K
Relating to Vested and Unvested Restricted Stock
Units) (Details)
90: XML.R134 Employee Stock-Based Compensation Plans (Activity XML 172K
Relating to Unvested Restricted Stock Units)
(Details)
119: XML.R135 Employee Stock-Based Compensation Plans (Activity XML 155K
Relating to Stock Options) (Details)
103: XML.R136 Employee Stock-Based Compensation Plans (Stock XML 492K
Options Outstanding) (Details)
186: XML.R137 Employee Stock-Based Compensation Plans (Weighted XML 96K
Average Assumptions) (Details)
62: XML.R138 Employee Benefit Plans (Narrative) (Details) XML 401K
44: XML.R139 Employee Benefit Plans (Components of Net Periodic XML 382K
Benefit Expense) (Details)
193: XML.R140 Employee Benefit Plans (Other Changes in Plan XML 329K
Assets and Benefit Obligations Recognized in Other
Comprehensive Loss (Income) on a Pre-Tax Basis)
(Details)
179: XML.R141 Employee Benefit Plans (Weighted Average XML 306K
Assumptions Used to Determine Net Periodic Benefit
Costs) (Details)
89: XML.R142 Employee Benefit Plans (Reconciliation of Changes XML 773K
in Benefit Obligation and Fair Value of Plan
Assets) (Details)
19: XML.R143 Employee Benefit Plans (Summary of Funded Status) XML 304K
(Details)
169: XML.R144 Employee Benefit Plans (Pension Plans with XML 94K
Projected Benefit Obligations in Excess of Fair
Value of Plan Assets) (Details)
181: XML.R145 Employee Benefit Plans (Pension Plans with XML 94K
Accumulated Benefit Obligations in Excess of Fair
Value of Plan Assets) (Details)
27: XML.R146 Employee Benefit Plans (Weighted Average XML 155K
Assumptions Used to Determine Benefit Obligations)
(Details)
68: XML.R147 Employee Benefit Plans (Assumed Health Care Cost XML 237K
Trend Rates Used to Determine the Postretirement
Benefit Obligations) (Details)
99: XML.R148 Employee Benefit Plans (Effects of a XML 105K
One-Percentage Point Change in Assumed Health Care
Cost Trend Rates) (Details)
188: XML.R149 Employee Benefit Plans (Fair Value of Net Pension XML 3.24M
Plan Assets) (Details)
56: XML.R150 Employee Benefit Plans (Changes in Level 3 Pension XML 282K
Assets and Liabilities Measured at Fair Value)
(Details)
79: XML.R151 Employee Benefit Plans (Expected Benefit Payments XML 183K
Associated with the Pension and Postretirement
Benefit Plans) (Details)
137: XML.R152 Income Taxes - (Narrative) (Details) XML 179K
28: XML.R153 Income Taxes - (Provision for (Benefit from) XML 565K
Income Taxes from Continuing Operations) (Details)
22: XML.R154 Income Taxes - (Reconciliation of the Provision XML 329K
for (Benefit from) Income Taxes and the U.S.
Federal Statutory Income Tax Rate) (Details)
147: XML.R155 Income Taxes - (Significant Components of Deferred XML 483K
Tax Assets and Liabilities) (Details)
54: XML.R156 Income Taxes - (U.S. and Non-U.S. Components of XML 279K
Income Before Income Tax Expense/(Benefit) and
Extraordinary Gain) (Details)
176: XML.R157 Income Taxes - (Reconciliation of Unrecognized Tax XML 161K
Benefits) (Details)
38: XML.R158 Income Taxes - (Major Tax Jurisdictions in Which XML 165K
the Company and Affiliates Operate and the
Earliest Tax Year Subject to Examination)
(Details)
74: XML.R159 Segment and Geographic Information - (Selected XML 2.70M
Financial Information by Segments) (Details)
175: XML.R160 Segment and Geographic Information - (Selected XML 1.07M
Financial Information by Segments) (Parenthetical)
(Details)
144: XML.R161 Segment and Geographic Information - (Net Interest XML 865K
by Segments) (Details)
178: XML.R162 Segment and Geographic Information - (Assets by XML 187K
Segments) (Details)
36: XML.R163 Segment and Geographic Information - (Net Revenues XML 461K
by Geographic Area) (Details)
34: XML.R164 Segment and Geographic Area - (Assets by XML 187K
Geographic Area) (Details)
111: XML.R165 Equity Method Investments (Narrative) (Details) XML 358K
92: XML.R166 Equity Method Investments (Strategic Equity Method XML 402K
Investees) (Details)
80: XML.R167 Discontinued Operations - (Information Regarding XML 1.14M
Amounts Included in Discontinued Operations)
(Details)
156: XML.R168 Parent Company - (Narrative) (Details) XML 340K
53: XML.R169 Parent Company - (Condensed Statements of XML 1.19M
Financial Condition) (Details)
158: XML.R170 Parent Company - (Condensed Statements of Income XML 1.67M
and Comprehensive Income) (Details)
128: XML.R171 Parent Company - (Condensed Statements of Cash XML 1.17M
Flows) (Details)
127: XML.R172 Quarterly Results (Unaudited) - (Quarterly XML 1.04M
Results) (Details)
75: XML.R173 Subsequent Events - (Narrative) (Details) XML 119K
172: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 8.11M
12: EX-101.INS XBRL Instance -- ms-20101231 XML 13.18M
14: EX-101.CAL XBRL Calculations -- ms-20101231_cal XML 502K
15: EX-101.DEF XBRL Definitions -- ms-20101231_def XML 2.35M
16: EX-101.LAB XBRL Labels -- ms-20101231_lab XML 3.20M
17: EX-101.PRE XBRL Presentations -- ms-20101231_pre XML 3.20M
13: EX-101.SCH XBRL Schema -- ms-20101231 XSD 594K
40: ZIP XBRL Zipped Folder -- 0001193125-11-050049-xbrl Zip 693K
| Amendment to Morgan Stanley Supplemental Executive Retirement and Excess Plan |
EXHIBIT 10.19
AMENDMENT TO SUPPLEMENTAL EXECUTIVE RETIREMENT
AND EXCESS PLAN
Morgan Stanley & Co. Incorporated (the “Corporation”) hereby amends the Morgan Stanley Supplemental Executive Retirement and Excess Plan (the “SEREP”) as follows:
1. Effective January 1, 2011, Section IV(C)(i), SERP Offsets, shall be amended by inserting the following at the end of subparagraph (f) thereof:
“The value of benefits provided for a year on or after January 1, 2011 under the Morgan Stanley 401(k) Plan and the Morgan Stanley 401(k) Savings Plan as Matching Contributions, Fixed Contributions and MS Transition Contributions for a year shall be considered to be an offset to benefits provided under this Plan for such year, as provided in this Section IV(C)(i) of the Plan, only to the extent such value exceeds the value of the maximum amount of Matching Contributions available under the Morgan Stanley 401(k) Plan on December 31, 2010 based on eligible pay for the year of determination.”
2. Effective January 1, 2011, Section V(A), Calculation of Excess Benefits, shall be amended by inserting the following at the end thereof:
“Effective January 1, 2011, the amount of the Excess Benefit payable to a Participant under this Section V(A) shall be determined using the above formula as if benefits continued to accrue under the Pension Plan as provided in this Section V(A), less any Excess Benefits Offset determined under Section V(B) of the Plan.”
3. Effective January 1, 2011, Section V, Excess Benefits, shall be amended by inserting new Section V(B), Excess Benefits Offsets, as follows:
“B. Excess Benefits Offsets
“The benefit to which a Participant is entitled under Paragraph V(A), shall be reduced by the following (an ‘Excess Benefits Offset’):
“(a) The value of benefits provided for a year on or after January 1, 2011 under the Morgan Stanley 401(k) Plan and the Morgan Stanley 401(k) Savings Plan as Matching Contributions, Fixed Contributions and MS Transition Contributions for a year shall be considered to be an offset to benefits provided under this Plan for such year, as provided in this Section V(B) of the Plan, only to the extent such value exceeds the value of the maximum amount of Matching Contributions available under the Morgan Stanley 401(k) Plan on December 31, 2010 based on eligible pay for the year of determination.”
* * * * * * * * *
IN WITNESS WHEREOF, the Corporation has caused this Amendment to be executed on its behalf as of this 23rd day of December, 2010.
| MORGAN STANLEY & CO. INCORPORATED | ||
| By: |
/s/ KAREN JAMESLEY | |
| Title: | Global Head of Human Resources | |
2
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 2/28/11 | 424B2, FWP | ||
| 1/1/11 | 3 | |||
| For Period end: | 12/31/10 | 11-K, 13F-HR, 13F-HR/A, 5, 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 1/31/12 SEC UPLOAD¶ 9/22/17 1:45K Morgan Stanley 12/13/11 SEC UPLOAD¶ 9/22/17 1:49K Morgan Stanley 10/28/11 SEC UPLOAD¶ 9/22/17 1:49K Morgan Stanley 7/08/11 SEC UPLOAD¶ 9/22/17 1:79K Morgan Stanley |