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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 8/07/09 Morgan Stanley 10-Q 6/30/09 33:9.1M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report for the Period Ended June 30, HTML 2.65M
2009
2: EX-10.1 Amended and Restated Trust Agreement Dated as of HTML 84K
April 21, 2009
3: EX-10.2 Amendment to Morgan Stanley 401(K) Plan, Dated as HTML 30K
of June 30, 2009
4: EX-10.3 Morgan Stanley 401(K) Savings Plan, Adopted HTML 315K
Effective as of July 1, 2009
5: EX-10.4 Directors' Equity Capital Accumulation Plan, as HTML 78K
Amended Through June 18, 2009
6: EX-10.5 Amendment to the Morgan Stanley Supplement HTML 17K
Executive Retirement and Excess Plan
7: EX-10.6 Morgan Stanley 2007 Notional Leveraged HTML 82K
Co-Investment Plan
8: EX-10.7 Memorandum Dated as of August 4, 2009 to Gary G. HTML 233K
Lynch
9: EX-12 Statement Re: Computation of Ratio of Earnings HTML 68K
10: EX-15 Letter of Awareness From Deloitte & Touche LLP, HTML 23K
Dated August 7, 2009
11: EX-31.1 Rule 13A-14(A) Certificate of Chief Executive HTML 20K
Officer
12: EX-31.2 Rule 13A-14(A) Certificate of Chief Financial HTML 20K
Officer
13: EX-32.1 Section 1350 Certificate of Chief Executive HTML 15K
Officer
14: EX-32.2 Section 1350 Certificate of Chief Financial HTML 15K
Officer
28: XML IDEA XML File -- Definitions and References XML 122K
31: XML IDEA XML File -- Filing Summary XML 47K
29: XML.R1 Statement Of Financial Position Unclassified - XML 523K
Deposit Based Operations
30: XML.R2 Statement Of Financial Position Unclassified - XML 124K
Deposit Based Operations (Parenthetical)
23: XML.R3 Statement Of Income Interest Based Revenue XML 478K
24: XML.R4 Statement Of Income Interest Based Revenue XML 45K
(Parenthetical)
27: XML.R5 Statement Of Other Comprehensive Income XML 133K
26: XML.R6 Statement Of Cash Flows Indirect Deposit Based XML 529K
Operations
33: XML.R7 Statement Of Shareholders Equity And Other XML 751K
Comprehensive Income
22: XML.R8 Notes to Financial Statements XML 1.77M
25: XML.R9 Document Information XML 44K
21: XML.R10 Entity Information XML 111K
32: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 147K
15: EX-101.INS XBRL Instance -- ms-20090630 XML 2.00M
17: EX-101.CAL XBRL Calculations -- ms-20090630_cal XML 171K
18: EX-101.DEF XBRL Definitions -- ms-20090630_def XML 58K
19: EX-101.LAB XBRL Labels -- ms-20090630_lab XML 430K
20: EX-101.PRE XBRL Presentations -- ms-20090630_pre XML 326K
16: EX-101.SCH XBRL Schema -- ms-20090630 XSD 55K
| Amendment to the Morgan Stanley Supplement Executive Retirement and Excess Plan |
EXHIBIT 10.5
AMENDMENT TO
SUPPLEMENTAL EXECUTIVE RETIREMENT AND EXCESS PLAN
Pursuant to the authority granted to it by Morgan Stanley, Morgan Stanley & Co. Incorporated (the “Corporation”) hereby amends the Morgan Stanley Supplemental Executive Retirement and Excess Plan as follows:
1. Effective April 1, 2009, Article II, Definitions and Assumptions is amended by redesignating paragraphs L through T as paragraphs M through U, respectively.
2. Effective April 1, 2009, a new paragraph II(L), Government Service Termination is inserted as follows:
“L. ‘Government Service Termination’ shall mean the termination of an employee’s employment due to the employee’s commencement of employment at a governmental department or agency, self-regulatory agency or other public service employer.”
3. Effective April 1, 2009, a new subsection VI(I), Government Service Termination is added as follows:
“I. Government Service Termination. Notwithstanding any provision in this Plan to the contrary, effective April 1, 2009, if an employee (other than a named executive officer of the Firm) experiences a Government Service Termination that does not involve a ‘cancellation event’ under the any of the Firm’s long-term incentive plans that apply to such employee, and such employee meets the requirements of Paragraph III(A) of the Plan (Participation Requirement for SERP Benefits) (and is not excluded from participation under Paragraph III(C) or Appendix C) as of the date of such Government Service Termination, other than the requirement that the employee shall have attained age 55, such employee may, in the discretion of the Firm, be treated as an employee who has met the requirements of such Paragraph III(A) and the amount payable shall be a percentage (between 0% and 100%), as determined by the Firm in its discretion, of the amount determined under Paragraph IV of the Plan, provided that such employee signs a release or other agreement as may be required by the Firm. Nothing in this Paragraph shall alter the timing or form of payment of any Participant’s Benefit as set forth in Paragraph VI of the Plan.”
4. Effective April 1, 2009, a new subsection VI(J), Illegality or Excise Taxes, is added as follows:
“J. Illegality or Excise Taxes. Effective April 1, 2009, if the Firm reasonably determines that the payment of any benefit provided by this Plan does not comply with, or results in an excise or penalty tax under, applicable standards, rules or regulations, the Firm has the right to modify the time, form, amount or other rights or features of such benefit, consistent with the requirements of Code Section 409A, and may require a Participant to repay any amount previously paid to the Participant pursuant to this Plan that the Firm reasonably determines does not comply with, or results in such excise or penalty tax under, such standards, rules or regulations.”
* * * * * * * * *
IN WITNESS WHEREOF, the Corporation has caused this Amendment to be executed on its behalf as of this 30th day of June, 2009.
| MORGAN STANLEY & CO. INCORPORATED | ||
| By: | /s/ KAREN JAMESLEY | |
| Title: | Global Head of Human | |
| Resources | ||
2
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 8/7/09 | FWP | ||
| For Period end: | 6/30/09 | 13F-HR, FWP | ||
| 4/1/09 | 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 |