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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 5/04/16 Morgan Stanley 10-Q 3/31/16 123:34M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 3.33M
2: EX-10.1 Material Contract HTML 44K
3: EX-10.2 Material Contract HTML 46K
4: EX-12 Statement re: Computation of Ratios HTML 60K
5: EX-15 Letter re: Unaudited Interim Financial Info HTML 46K
6: EX-31.1 Certification -- §302 - SOA'02 HTML 41K
7: EX-31.2 Certification -- §302 - SOA'02 HTML 41K
8: EX-32.1 Certification -- §906 - SOA'02 HTML 37K
9: EX-32.2 Certification -- §906 - SOA'02 HTML 37K
16: R1 Document and Entity Information HTML 63K
17: R2 Consolidated Statements of Income HTML 158K
18: R3 Consolidated Statements of Comprehensive Income HTML 75K
19: R4 Consolidated Statements of Financial Condition HTML 144K
20: R5 Consolidated Statements of Financial Condition HTML 75K
(Parenthetical)
21: R6 Consolidated Statements of Changes in Total Equity HTML 88K
22: R7 Consolidated Statements of Cash Flows HTML 163K
23: R8 Introduction and Basis of Presentation HTML 52K
24: R9 Significant Accounting Policies HTML 50K
25: R10 Fair Value Disclosures HTML 1.44M
26: R11 Derivative Instruments and Hedging Activities HTML 593K
27: R12 Investment Securities HTML 376K
28: R13 Collateralized Transactions HTML 160K
29: R14 Loans and Allowance for Credit Losses HTML 289K
30: R15 Equity Method Investments HTML 47K
31: R16 Deposits HTML 50K
32: R17 Long-Term Borrowings and Other Secured Financings HTML 58K
33: R18 Commitments, Guarantees and Contingencies HTML 162K
34: R19 Variable Interest Entities and Securitization HTML 311K
Activities
35: R20 Regulatory Requirements HTML 122K
36: R21 Total Equity HTML 113K
37: R22 Earnings Per Common Share HTML 80K
38: R23 Interest Income and Interest Expense HTML 64K
39: R24 Employee Benefit Plans HTML 50K
40: R25 Income Taxes HTML 48K
41: R26 Segment and Geographic Information HTML 157K
42: R27 Subsequent Events HTML 44K
43: R28 Significant Accounting Policies (Policy) HTML 47K
44: R29 Fair Value Disclosures (Tables) HTML 1.44M
45: R30 Derivative Instruments and Hedging Activities HTML 583K
(Tables)
46: R31 Investment Securities (Tables) HTML 374K
47: R32 Collateralized Transactions (Tables) HTML 151K
48: R33 Loans and Allowance for Credit Losses (Tables) HTML 287K
49: R34 Deposits (Tables) HTML 46K
50: R35 Long-Term Borrowings and Other Secured Financings HTML 52K
(Tables)
51: R36 Commitments, Guarantees and Contingencies (Tables) HTML 111K
52: R37 Variable Interest Entities and Securitization HTML 301K
Activities (Tables)
53: R38 Regulatory Requirements (Tables) HTML 96K
54: R39 Total Equity (Tables) HTML 100K
55: R40 Earnings Per Common Share (Tables) HTML 80K
56: R41 Interest Income and Interest Expense (Tables) HTML 63K
57: R42 Employee Benefit Plans (Tables) HTML 47K
58: R43 Segment and Geographic Information (Tables) HTML 156K
59: R44 Introduction and Basis of Presentation (Details) HTML 40K
60: R45 Significant Accounting Policies (Details) HTML 46K
61: R46 Fair Value Disclosures (Assets and Liabilities HTML 307K
Measured at Fair Value on a Recurring Basis)
(Details)
62: R47 Fair Value Disclosures (Changes in Level 3 Assets HTML 281K
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
63: R48 Fair Value Disclosures (Quantitative Information HTML 309K
about and Sensitivity of Significant Unobservable
Inputs Used in Recurring Level 3 Fair Value
Measurements) (Details)
64: R49 Fair Value Disclosures (Fair Value of Investments HTML 57K
Measured at Net Asset Value) (Details)
65: R50 Fair Value Disclosures (Fair Value of Equity Fund HTML 82K
and Hedge Fund) (Details)
66: R51 Fair Value Disclosures (Net Gains (Losses) Due to HTML 67K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
67: R52 Fair Value Disclosures (Short-term and Long-term HTML 48K
Borrowings) (Details)
68: R53 Fair Value Disclosures (Gains (Losses) Due to HTML 58K
Changes in Instrument Specific Credit Risk)
(Details)
69: R54 Fair Value Disclosures (Net Difference between HTML 48K
Contractual Principal Amount and Fair Value)
(Details)
70: R55 Fair Value Disclosures (Assets Measured at Fair HTML 105K
Value on a Nonrecurring Basis) (Details)
71: R56 Fair Value Disclosures (Financial Instruments Not HTML 124K
Measured at FV) (Details)
72: R57 Derivative Instruments and Hedging Activities HTML 237K
(Fair Value, Notional and Offsetting of Derivative
Assets and Liabilities) (Details)
73: R58 Derivative Instruments and Hedging Activities HTML 73K
(Gains or Losses on Derivative Instruments,
Related Hedge Items and Hedge Ineffectiveness)
(Details)
74: R59 Derivative Instruments and Hedging Activities HTML 74K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
75: R60 Derivative Instruments and Hedging Activities HTML 50K
(Credit Risk Related Contingencies) (Details)
76: R61 Derivative Instruments and Hedging Activities HTML 120K
(Credit Derivatives and Other Credit Derivatives)
(Details)
77: R62 Investment Securities (Schedule of Investment HTML 138K
Securities) (Details)
78: R63 Investment Securities (Schedule of Investment HTML 142K
Securities in an Unrealized Loss Position)
(Details)
79: R64 Investment Securities (Schedule of Amortized Cost HTML 194K
and Fair Value of Available for Sale Debt
Securities by Contractual Date) (Details)
80: R65 Investment Securities (Schedule of Gross Realized HTML 43K
Gains and Gross Realized (Losses) on Sales of AFS
Securities) (Details)
81: R66 Collateralized Transactions (Narrative) (Details) HTML 47K
82: R67 Collateralized Transactions (Balance Sheet HTML 113K
Offsetting) (Details)
83: R68 Collateralized Transactions (Secured Financing HTML 85K
Transactions) (Details)
84: R69 Collateralized Transactions (Cash And Securities HTML 43K
Deposited With Clearing Organizations Or
Segregated Under Federal And Other Regulations Or
Requirements) (Details)
85: R70 Loans and Allowance for Credit Losses (Outstanding HTML 125K
Loans and Credit Quality) (Details)
86: R71 Loans and Allowance for Credit Losses (Impaired HTML 76K
Loans) (Details)
87: R72 Loans and Allowance for Credit Losses (Loans and HTML 131K
Lending-related Commitments) (Details)
88: R73 Loans and Allowance for Credit Losses (Employee HTML 48K
Loans) (Details)
89: R74 Equity Method Investments (Narratives) (Details) HTML 52K
90: R75 Deposits (Details) HTML 57K
91: R76 Long-Term Borrowings and Other Secured Financings HTML 43K
(Other Narratives) (Details)
92: R77 Long-Term Borrowings and Other Secured Financings HTML 49K
(Components of Long-term Borrowings) (Details)
93: R78 Long-Term Borrowings and Other Secured Financings HTML 45K
(Other Secured Financings) (Details)
94: R79 Commitments, Guarantees and Contingencies HTML 105K
(Narrative - Contingencies) (Details)
95: R80 Commitments, Guarantees and Contingencies HTML 79K
(Commitments) (Details)
96: R81 Commitments, Guarantees and Contingencies HTML 110K
(Obligations under Guarantee Arrangements)
(Details)
97: R82 Variable Interest Entities and Securitization HTML 40K
Activities (Narrative) (Details)
98: R83 Variable Interest Entities and Securitization HTML 54K
Activities (Consolidated VIEs) (Details)
99: R84 Variable Interest Entities and Securitization HTML 68K
Activities (Consolidated VIEs Assets and
Liabilities, Generally Not Available to the
Company) (Details)
100: R85 Variable Interest Entities and Securitization HTML 115K
Activities (Non-Consolidated VIEs) (Details)
101: R86 Variable Interest Entities and Securitization HTML 85K
Activities (Transfers of Assets with Continuing
Involvement 1) (Details)
102: R87 Variable Interest Entities and Securitization HTML 76K
Activities (Transfers of Assets with Continuing
Involvement 2) (Details)
103: R88 Variable Interest Entities and Securitization HTML 50K
Activities (Proceeds from retained interests in
securitization transactions) (Details)
104: R89 Variable Interest Entities and Securitization HTML 53K
Activities (Bilateral OTD equity derivatives)
(Details)
105: R90 Variable Interest Entities and Securitization HTML 41K
Activities (Failed Sales) (Details)
106: R91 Regulatory Requirements (Narrative) (Details) HTML 51K
107: R92 Regulatory Requirements (Capital Measures) HTML 79K
(Details)
108: R93 Regulatory Requirements (Significant U.S. Bank HTML 85K
Operating Subsidiaries' Capital) (Details)
109: R94 Total Equity (Narrative) (Details) HTML 47K
110: R95 Total Equity (Preferred Stock Outstanding) HTML 81K
(Details)
111: R96 Total Equity (Components of Accumulated Other HTML 67K
Comprehensive Income (Loss)) (Details)
112: R97 Earnings Per Common Share (Calculation of Basic HTML 99K
and Diluted EPS) (Details)
113: R98 Earnings Per Common Share (Antidilutive Securities HTML 42K
Excluded from the Computation of Diluted EPS)
(Details)
114: R99 Interest Income and Interest Expense (Details) HTML 71K
115: R100 Employee Benefit Plans (Net Periodic Benefit HTML 52K
Expense) (Details)
116: R101 Income Taxes (Reconciliation of the Effective HTML 41K
Income Tax Rate) (Details)
117: R102 Segment and Geographic Information (Selected HTML 123K
Financial Information by Segments) (Details)
118: R103 Segment and Geographic Information (Assets by HTML 46K
Segments) (Details)
119: R104 Segment and Geographic Information (Net Revenues HTML 45K
by Geographic Area) (Details)
120: R105 Subsequent Events (Details) HTML 55K
122: XML IDEA XML File -- Filing Summary XML 243K
121: EXCEL IDEA Workbook of Financial Reports XLSX 204K
10: EX-101.INS XBRL Instance -- ms-20160331 XML 14.67M
12: EX-101.CAL XBRL Calculations -- ms-20160331_cal XML 625K
13: EX-101.DEF XBRL Definitions -- ms-20160331_def XML 3.21M
14: EX-101.LAB XBRL Labels -- ms-20160331_lab XML 6.15M
15: EX-101.PRE XBRL Presentations -- ms-20160331_pre XML 4.16M
11: EX-101.SCH XBRL Schema -- ms-20160331 XSD 614K
123: ZIP XBRL Zipped Folder -- 0001193125-16-577875-xbrl Zip 873K
| EX-10.1 |
Exhibit 10.1
Fourth Amendment to Investor Agreement
THIS FOURTH AMENDMENT TO THE INVESTOR AGREEMENT (this “Amendment”), dated as of April 6, 2016, is made by and between Morgan Stanley, a Delaware corporation (the “Company”), and Mitsubishi UFJ Financial Group, Inc., a joint stock company organized under the laws of Japan (the “Investor”).
W I T N E S S E T H:
WHEREAS, the Company and the Investor are parties to that certain Investor Agreement, dated as of October 13, 2008, and amended by the First Amendment to Investor Agreement, dated as of October 27, 2008, and amended and restated by the Amended and Restated Investor Agreement, dated as of June 30, 2011, and amended by the Third Amendment to Investor Agreement, dated as of October 3, 2013 (the Investor Agreement, as so amended and restated, the “Investor Agreement”); and
WHEREAS, the Company and the Investor have determined to further amend the Investor Agreement as set forth herein.
NOW THEREFORE, in consideration of the premises and of the respective representations, warranties, covenants and conditions contained herein, the parties hereto agree as follows:
| 1. | Defined Terms. Capitalized terms used but not defined in this Amendment shall have the respective meanings ascribed to them in the Investor Agreement. |
| 2. | Amendments. The Investor Agreement is hereby amended as follows: |
| 2.1. | The first sentence of Section 3.4 is amended and restated in its entirety as follows: “Standstill Period” shall mean the period from the date hereof until the earlier of (i) October 13, 2018, and (ii) the occurrence of an Investor Rights Termination Event; provided, however, that the parties shall, prior to the expiration of the Standstill Period, discuss in good faith whether to extend the Standstill Period (with no obligation to extend).” |
| 2.2. | Section 5.6 is amended and restated in its entirety as follows: “The preemptive right to purchase Covered Securities granted by this Article V shall not be available for any offering that commences at any time after (i) October 13, 2018 (the “Preemptive Rights Expiration Date”) or (ii) the date on which the Investor Transfers any of the Securities that it acquired on the Closing Date or the Common Stock issued upon conversion of any Securities, or Hedges its exposure to the Common Stock, except as contemplated by clause (i) or (ii) of the first sentence of Section 4.1(a) and Section 4.1(e); provided, however, that the parties shall, no later than 3 months prior to the Preemptive Rights Expiration Date, discuss in good faith whether to extend the Preemptive Rights Expiration Date (with no obligation to extend).” |
| 3. | No Other Amendments. Except as expressly set forth herein, the Investor Agreement remains in full force and effect in accordance with its terms and nothing contained herein shall be deemed to be a waiver, amendment, modification or other change of any term, condition or provision of the Investor Agreement (or a consent to any such waiver, amendment, modification or other change). All references in the Investor Agreement to the Investor Agreement shall be deemed to be references to the Investor Agreement after giving effect to this Amendment. |
| 4. | Changes. This Amendment may not be modified or amended except pursuant to an instrument in writing signed by the Company and the Investor. |
| 5. | Headings. The headings of the various sections of this Amendment have been inserted for convenience or reference only and shall not be deemed to be part of this Amendment. |
| 6. | Applicable Law and Submission to Jurisdiction. This Amendment will be governed by and construed in accordance with the laws of the State of Delaware applicable to contracts made and to be performed within the State of Delaware. The provisions of Sections 9.5 and 9.12 of the Investor Agreement shall apply to this Amendment as if each such provision were set forth herein in their entirety. |
| 7. | Counterparts. This Amendment may be signed in one or more counterparts, each of which shall constitute an original and all of which together shall constitute one and the same agreement. |
- 2 -
Please confirm that the foregoing correctly sets forth the agreement between us by signing in the space provided below for that purpose.
AGREED AND ACCEPTED:
| MORGAN STANLEY | MITSUBISHI UFJ FINANCIAL GROUP, INC. | |||||||
| By: | /s/ James Rosenthal |
By: | /s/ Tadashi Kuroda | |||||
| Name: | James Rosenthal | Name: | Tadashi Kuroda | |||||
| Title: | Chief Operating Officer | Title: | Senior Managing Executive Officer | |||||
[Signature Page to Fourth Amendment to Investor Agreement]
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 10/13/18 | ||||
| Filed on: | 5/4/16 | 424B2, FWP | ||
| 4/6/16 | 424B2, FWP | |||
| For Period end: | 3/31/16 | 13F-HR, 424B2, FWP | ||
| 10/3/13 | 424B2, CERTNYS, FWP | |||
| 6/30/11 | 10-Q, 4, 424B2, 8-K, FWP | |||
| 10/27/08 | 424B2, FWP | |||
| 10/13/08 | 3, 8-K | |||
| 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 |