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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/23/16 Morgan Stanley 10-K 12/31/15 182:50M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-K Annual Report HTML 5.42M
2: EX-3.1 Articles of Incorporation/Organization or Bylaws HTML 786K
4: EX-10.38 Material Contract HTML 136K
5: EX-10.39 Material Contract HTML 126K
6: EX-10.40 Material Contract HTML 160K
7: EX-10.41 Material Contract HTML 97K
3: EX-10.5 Material Contract HTML 54K
9: EX-21 Subsidiaries List HTML 178K
10: EX-23.1 Consent of Experts or Counsel HTML 60K
8: EX-12 Statement re: Computation of Ratios HTML 70K
11: EX-31.1 Certification -- §302 - SOA'02 HTML 55K
12: EX-31.2 Certification -- §302 - SOA'02 HTML 55K
13: EX-32.1 Certification -- §906 - SOA'02 HTML 51K
14: EX-32.2 Certification -- §906 - SOA'02 HTML 51K
21: R1 Document and Entity Information HTML 80K
22: R2 Consolidated Statements of Income HTML 176K
23: R3 Consolidated Statements of Comprehensive Income HTML 93K
24: R4 Consolidated Statements of Financial Condition HTML 168K
25: R5 Consolidated Statements of Financial Condition HTML 115K
(Parenthetical)
26: R6 Consolidated Statements of Changes in Total Equity HTML 106K
27: R7 Consolidated Statements of Cash Flows HTML 189K
28: R8 Introduction and Basis of Presentation HTML 79K
29: R9 Significant Accounting Policies HTML 174K
30: R10 Fair Value Disclosures HTML 1.73M
31: R11 Derivative Instruments and Hedging Activities HTML 622K
32: R12 Investment Securities HTML 376K
33: R13 Collateralized Transactions HTML 158K
34: R14 Loans and Allowance for Credit Losses HTML 312K
35: R15 Equity Method Investments HTML 80K
36: R16 Goodwill and Net Intangible Assets HTML 130K
37: R17 Deposits HTML 66K
38: R18 Borrowings and Other Secured Financings HTML 167K
39: R19 Commitments, Guarantees and Contingencies HTML 215K
40: R20 Variable Interest Entities and Securitization HTML 323K
Activities
41: R21 Regulatory Requirements HTML 147K
42: R22 Total Equity HTML 196K
43: R23 Earnings Per Common Share HTML 104K
44: R24 Interest Income and Interest Expense HTML 84K
45: R25 Deferred Compensation Plans HTML 180K
46: R26 Employee Benefit Plans HTML 363K
47: R27 Income Taxes HTML 178K
48: R28 Segment and Geographic Information HTML 240K
49: R29 Parent Company HTML 210K
50: R30 Quarterly Results HTML 176K
51: R31 Subsequent Events HTML 60K
52: R32 Significant Accounting Policies (Policy) HTML 218K
53: R33 Fair Value Disclosures (Tables) HTML 1.64M
54: R34 Derivative Instruments and Hedging Activities HTML 604K
(Tables)
55: R35 Investment Securities (Tables) HTML 375K
56: R36 Collateralized Transactions (Tables) HTML 139K
57: R37 Loans and Allowance for Credit Losses (Tables) HTML 299K
58: R38 Equity Method Investments (Tables) HTML 69K
59: R39 Goodwill and Net Intangible Assets (Tables) HTML 127K
60: R40 Deposits (Tables) HTML 59K
61: R41 Borrowings and Other Secured Financings (Tables) HTML 150K
62: R42 Commitments, Guarantees and Contingencies (Tables) HTML 134K
63: R43 Variable Interest Entities and Securitization HTML 274K
Activities (Tables)
64: R44 Regulatory Requirements (Tables) HTML 113K
65: R45 Total Equity (Tables) HTML 177K
66: R46 Earnings Per Common Share (Tables) HTML 104K
67: R47 Interest Income and Interest Expense (Tables) HTML 83K
68: R48 Deferred Compensation Plans (Tables) HTML 169K
69: R49 Employee Benefit Plans (Tables) HTML 342K
70: R50 Income Taxes (Tables) HTML 163K
71: R51 Segment and Geographic Information (Tables) HTML 238K
72: R52 Parent Company (Tables) HTML 188K
73: R53 Quarterly Results (Tables) HTML 174K
74: R54 Introduction and Basis of Presentation (Details) HTML 74K
75: R55 Significant Accounting Policies (Details) HTML 79K
76: R56 Fair Value Disclosures (Narrative) (Details) HTML 56K
77: R57 Fair Value Disclosures (Assets and Liabilities HTML 329K
Measured at Fair Value on a Recurring Basis)
(Details)
78: R58 Fair Value Disclosures (Changes in Level 3 Assets HTML 303K
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
79: R59 Fair Value Disclosures (Quantitative Information HTML 345K
about and Sensitivity of Significant Unobservable
Inputs Used in Recurring Level 3 Fair Value
Measurements) (Details)
80: R60 Fair Value Disclosures (Fair Value of Investments HTML 77K
Measured at Net Asset Value) (Details)
81: R61 Fair Value Disclosures (Fair Value of Equity Fund HTML 83K
and Hedge Fund) (Details)
82: R62 Fair Value Disclosures (Net Gains (Losses) Due to HTML 83K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
83: R63 Fair Value Disclosures (Short-term and Long-term HTML 62K
Borrowings) (Details)
84: R64 Fair Value Disclosures (Gains (Losses) Due to HTML 60K
Changes in Instrument Specific Credit Risk)
(Details)
85: R65 Fair Value Disclosures (Net Difference between HTML 62K
Contractual Principal Amount and Fair Value)
(Details)
86: R66 Fair Value Disclosures (Assets Measured at Fair HTML 131K
Value on a Nonrecurring Basis) (Details)
87: R67 Fair Value Disclosures (Financial Instruments Not HTML 144K
Carried at FV) (Details)
88: R68 Derivative Instruments and Hedging Activities HTML 54K
(Other Disclosures) (Details)
89: R69 Derivative Instruments and Hedging Activities HTML 241K
(Fair Value and Notional of Derivative Assets and
Liabilities) (Details)
90: R70 Derivative Instruments and Hedging Activities HTML 118K
(Offsetting of Derivative Instruments and Related
Collateral) (Details)
91: R71 Derivative Instruments and Hedging Activities HTML 89K
(Gains or Losses on Derivative Instruments,
Related Hedge Items and Hedge Ineffectiveness)
(Details)
92: R72 Derivative Instruments and Hedging Activities HTML 88K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
93: R73 Derivative Instruments and Hedging Activities HTML 64K
(Credit Risk Related Contingencies) (Details)
94: R74 Derivative Instruments and Hedging Activities HTML 134K
(Credit Derivatives and Other Credit Derivatives)
(Details)
95: R75 Investment Securities (Schedule of Investment HTML 152K
Securities) (Details)
96: R76 Investment Securities (Schedule of Investment HTML 161K
Securities in an Unrealized Loss Position)
(Details)
97: R77 Investment Securities (Schedule of Amortized Cost HTML 206K
and Fair Value of Available for Sale Debt
Securities by Contractual Date) (Details)
98: R78 Investment Securities (Schedule of Gross Realized HTML 58K
Gains and Gross Realized (Losses) on Sales of AFS
Securities) (Details)
99: R79 Collateralized Transactions (Narrative) (Details) HTML 65K
100: R80 Collateralized Transactions (Balance Sheet HTML 128K
Offsetting) (Details)
101: R81 Collateralized Transactions (Secured Financing HTML 98K
Transactions) (Details)
102: R82 Collateralized Transactions (Cash And Securities HTML 59K
Deposited With Clearing Organizations Or
Segregated Under Federal And Other Regulations Or
Requirements) (Details)
103: R83 Loans and Allowance for Credit Losses (Outstanding HTML 127K
Loans and Credit Quality) (Details)
104: R84 Loans and Allowance for Credit Losses (Impaired HTML 94K
Loans) (Details)
105: R85 Loans and Allowance for Credit Losses (Loans and HTML 137K
Lending-related Commitments) (Details)
106: R86 Loans and Allowance for Credit Losses (Employee HTML 62K
Loans) (Details)
107: R87 Equity Method Investments (Narratives) (Details) HTML 70K
108: R88 Equity Method Investments (Investees) (Details) HTML 78K
109: R89 Goodwill and Net Intangible Assets (Narrative) HTML 63K
(Details)
110: R90 Goodwill and Net Intangible Assets (Changes in HTML 75K
Carrying Amount of Goodwill) (Details)
111: R91 Goodwill and Net Intangible Assets (Changes in HTML 87K
Carrying Amount of Intangible Assets) (Details)
112: R92 Goodwill and Net Intangible Assets (Amortizable HTML 68K
Intangible Assets) (Details)
113: R93 Deposits (Details) HTML 82K
114: R94 Borrowings and Other Secured Financings (Other HTML 92K
Narratives) (Details)
115: R95 Borrowings and Other Secured Financings HTML 55K
(Short-term Borrowings) (Details)
116: R96 Borrowings and Other Secured Financings (Long-term HTML 104K
Borrowings Maturities and Terms) (Details)
117: R97 Borrowings and Other Secured Financings HTML 63K
(Components of Long-term Borrowings) (Details)
118: R98 Borrowings and Other Secured Financings (Effective HTML 55K
Average Borrowing Rate) (Details)
119: R99 Borrowings and Other Secured Financings (Other HTML 70K
Secured Financings) (Details)
120: R100 Borrowings and Other Secured Financings (Schedule HTML 91K
of Maturities of Secured Financing) (Details)
121: R101 Borrowings and Other Secured Financings (Schedule HTML 78K
of Failed Sales) (Details)
122: R102 Commitments, Guarantees and Contingencies HTML 93K
(Narrative) (Details)
123: R103 Commitments, Guarantees and Contingencies HTML 118K
(Narrative - Contingencies) (Details)
124: R104 Commitments, Guarantees and Contingencies HTML 90K
(Commitments) (Details)
125: R105 Commitments, Guarantees and Contingencies (Future HTML 68K
Minimum Rental Commitments) (Details)
126: R106 Commitments, Guarantees and Contingencies HTML 125K
(Obligations under Guarantee Arrangements)
(Details)
127: R107 Variable Interest Entities and Securitization HTML 64K
Activities (Narrative) (Details)
128: R108 Variable Interest Entities and Securitization HTML 70K
Activities (Consolidated VIEs) (Details)
129: R109 Variable Interest Entities and Securitization HTML 129K
Activities (Non-Consolidated VIEs) (Details)
130: R110 Variable Interest Entities and Securitization HTML 99K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
131: R111 Variable Interest Entities and Securitization HTML 97K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
132: R112 Variable Interest Entities and Securitization HTML 64K
Activities (Proceeds from retained interests in
securitization transactions) (Details)
133: R113 Variable Interest Entities and Securitization HTML 56K
Activities (Failed Sales) (Details)
134: R114 Regulatory Requirements (Narrative) (Details) HTML 68K
135: R115 Regulatory Requirements (Capital Measures) HTML 93K
(Details)
136: R116 Regulatory Requirements (Significant U.S. Bank HTML 110K
Operating Subsidiaries' Capital) (Details)
137: R117 Total Equity (Narrative) (Details) HTML 99K
138: R118 Total Equity (Changes in Shares of Common Stock HTML 59K
Outstanding) (Details)
139: R119 Total Equity (Preferred Stock Outstanding) HTML 95K
(Details)
140: R120 Total Equity (Preferred Stock) (Details) HTML 175K
141: R121 Total Equity (Components of Accumulated Other HTML 73K
Comprehensive Income (Loss)) (Details)
142: R122 Total Equity (Cumulative Foreign Currency HTML 62K
Translation Adjustments, Net of Tax) (Details)
143: R123 Earnings Per Common Share (Calculation of Basic HTML 130K
and Diluted EPS) (Details)
144: R124 Earnings Per Common Share (Antidilutive Securities HTML 57K
Excluded from the Computation of Diluted EPS)
(Details)
145: R125 Interest Income and Interest Expense (Details) HTML 92K
146: R126 Deferred Compensation Plans (Stock-based HTML 80K
Compensation Plans) (Details)
147: R127 Deferred Compensation Plans (Deferred Restricted HTML 89K
Stock Units) (Details)
148: R128 Deferred Compensation Plans (Unvested Restricted HTML 84K
Stock Units) (Details)
149: R129 Deferred Compensation Plans (Stock Options) HTML 125K
(Details)
150: R130 Deferred Compensation Plans (Performance-based HTML 97K
Stock Units) (Details)
151: R131 Deferred Compensation Plans (Deferred Cash-based HTML 73K
Compensation Plans) (Details)
152: R132 Deferred Compensation Plans (2015 Performance Year HTML 77K
Deferred Compensation Awards) (Details)
153: R133 Employee Benefit Plans (Narratives) (Details) HTML 83K
154: R134 Employee Benefit Plans (Net Periodic Benefit HTML 115K
Expense) (Details)
155: R135 Employee Benefit Plans (Reconciliation of Changes HTML 112K
in Benefit Obligation and Fair Value of Plan
Assets) (Details)
156: R136 Employee Benefit Plans (Summary of Funded Status) HTML 83K
(Details)
157: R137 Employee Benefit Plans (Pension Plans with HTML 65K
Projected Benefit Obligations in Excess of Fair
Value of Plan Assets) (Details)
158: R138 Employee Benefit Plans (Assumptions) (Details) HTML 84K
159: R139 Employee Benefit Plans (Fair Value of Net Pension HTML 193K
Plan Assets) (Details)
160: R140 Employee Benefit Plans (Changes in Level 3 Pension HTML 66K
Assets) (Details)
161: R141 Employee Benefit Plans (Expected Future Benefit HTML 70K
Payments) (Details)
162: R142 Income Taxes (Components of Provision for (Benefit HTML 132K
from) Income Taxes) (Details)
163: R143 Income Taxes (Reconciliation of the Effective HTML 124K
Income Tax Rate) (Details)
164: R144 Income Taxes (Significant Components of Deferred HTML 95K
Tax Assets and Liabilities Balance) (Details)
165: R145 Income Taxes (Reconciliation of Unrecognized Tax HTML 75K
Benefits) (Details)
166: R146 Income Taxes (Earliest Tax Year Subject to HTML 61K
Examination in Major Tax Jurisdictions) (Details)
167: R147 Income Taxes (U.S. and Non-U.S. Components of HTML 58K
Income Before Income Tax Expense (Benefit))
(Details)
168: R148 Segment and Geographic Information (Selected HTML 180K
Financial Information by Segments) (Details)
169: R149 Segment and Geographic Information (Assets by HTML 65K
Segments) (Details)
170: R150 Segment and Geographic Information (Net Revenues HTML 65K
by Geographic Area) (Details)
171: R151 Segment and Geographic Information (Total Assets HTML 60K
by Geographic Information) (Details)
172: R152 Parent Company (Narrative) (Details) HTML 65K
173: R153 Parent Company (Condensed Statements of Income and HTML 134K
Comprehensive Income) (Details)
174: R154 Parent Company (Condensed Statements of Financial HTML 142K
Condition) (Details)
175: R155 Parent Company (Condensed Statements of Cash HTML 170K
Flows) (Details)
176: R156 Parent Company (Long Term Borrowings) (Details) HTML 62K
177: R157 Quarterly Results (Unaudited) (Details) HTML 141K
178: R158 Quarterly Results (Unaudited - Narratives) HTML 103K
(Details)
179: R159 Subsequent Events (Details) HTML 89K
181: XML IDEA XML File -- Filing Summary XML 365K
180: EXCEL IDEA Workbook of Financial Reports XLSX 346K
15: EX-101.INS XBRL Instance -- ms-20151231 XML 20.38M
17: EX-101.CAL XBRL Calculations -- ms-20151231_cal XML 765K
18: EX-101.DEF XBRL Definitions -- ms-20151231_def XML 4.11M
19: EX-101.LAB XBRL Labels -- ms-20151231_lab XML 7.08M
20: EX-101.PRE XBRL Presentations -- ms-20151231_pre XML 5.22M
16: EX-101.SCH XBRL Schema -- ms-20151231 XSD 729K
182: ZIP XBRL Zipped Folder -- 0001193125-16-473553-xbrl Zip 1.19M
| EX-10.5 |
EXHIBIT 10.5
AMENDMENT TO THE
401(k) PLAN
Morgan Stanley & Co. LLC (the “Company”) hereby amends the Morgan Stanley 401(k) Plan (the “401(k) Plan”) as follows:
1. Effective August 28, 2015, Section 5(j), Rollover Contributions, is amended by inserting “and except as provided in Section 5(k)” after the phrase “determines otherwise on a nondiscriminatory basis,” in the second sentence thereof.
2. Effective August 28, 2015, Sections 5(k) and 5(l) are redesignated as Sections 5(l) and 5(m), respectively, and a new Section 5(k) is inserted as follows:
“(k) In-Plan Roth Rollovers. (i) Commencing August 28, 2015, a Participant, spousal Beneficiary or an alternate payee (as defined in Code section 414(p)) who is a spouse or former spouse of the Participant with a vested Account balance may at any time make an In-Plan Roth Rollover in accordance with this Section 5(k). An In-Plan Roth Rollover shall have the effect of converting any amounts held in such individual’s Account from pre-tax amounts to Roth after-tax amounts under the Plan and, except as provided in this Section 5(k), shall thereafter be considered Roth Elective Deferrals (and earnings). An In-Plan Roth Rollover shall be available without regard to whether the designated amount is otherwise currently distributable under the Plan.
(ii) The minimum amount eligible for an In-Plan Roth Rollover is $500. A Participant, spousal Beneficiary or alternate payee shall be permitted up to two In-Plan Roth Rollovers per Plan Year.
(iii) Except as provided in Section 5(k)(i), any amount attributable to an In-Plan Roth Rollover (including earnings) shall remain subject to all distribution restrictions under the Plan as applied to such amounts prior to the In-Plan Roth Rollover.
(iv) For sake of clarity, in the event any amount attributable to an In-Plan Roth Rollover is determined to be an Excess Elective Deferral or an Excess Contribution, the provisions of Sections 5(i)(iv) and 5(i)(v) shall apply to such amount.
(v) Any election of an In-Plan Roth Rollover shall be irrevocable.
(vi) Restrictions on In-Plan Roth Rollovers.
(a) Cost basis in units of the Morgan Stanley Stock Fund shall not carry over to the extent an In-Plan Roth Rollover includes units of the Morgan Stanley Stock Fund. Units of the Morgan Stanley Stock Fund shall acquire a new cost basis as of the date of the In-Plan Roth Rollover attributable to such units.
(b) No election to make an In-Plan Roth Rollover shall apply to any unvested amount or any loan balance.”
3. Effective January 1, 2015, Section 11(e)(i), Designation of Beneficiary, is amended by inserting the following at the end thereof:
“If a Participant has named any individual who is resident or located in an Office of Foreign Asset Control (“OFAC”) -sanctioned country (or who is otherwise an OFAC “specially designated national”) as his or her Beneficiary under the Plan, any such individual shall be treated as though he or she had not been designated under the Plan, and such designation shall be null and void.”
* * * * * * * * *
IN WITNESS WHEREOF, the Company has caused this Amendment to be executed on its behalf as of this 22nd day of December, 2015.
| MORGAN STANLEY & CO. LLC | ||
| By: | /s/ Jeffrey Brodsky | |
| Title: | Chief Human Resources Officer | |
2
| This ‘10-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 2/23/16 | 424B2, FWP | ||
| For Period end: | 12/31/15 | 11-K, 13F-HR, 424B2, FWP, SC 13G | ||
| 8/28/15 | 424B2, FWP | |||
| 1/1/15 | ||||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 2/24/22 Morgan Stanley 10-K 12/31/21 225:51M 2/26/21 Morgan Stanley 10-K 12/31/20 225:50M |