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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 11/04/13 Morgan Stanley 10-Q 9/30/13 127:48M Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size
1: 10-Q Quarterly Report HTML 3.89M
2: EX-10.1 Material Contract HTML 47K
3: EX-12 Statement re: Computation of Ratios HTML 69K
4: EX-15 Letter re: Unaudited Interim Financial Information HTML 45K
5: EX-31.1 Certification -- §302 - SOA'02 HTML 44K
6: EX-31.2 Certification -- §302 - SOA'02 HTML 44K
7: EX-32.1 Certification -- §906 - SOA'02 HTML 38K
8: EX-32.2 Certification -- §906 - SOA'02 HTML 38K
121: R1 Document and Entity Information HTML 66K
77: R2 Condensed Consolidated Statements of Financial HTML 207K
Condition
73: R3 Consolidated Statements of Financial Condition HTML 114K
(Parenthetical)
24: R4 Condensed Consolidated Statements of Income HTML 223K
75: R5 Condensed Consolidated Statements of Comprehensive HTML 108K
Income
54: R6 Condensed Consolidated Statements of Cash Flows HTML 212K
101: R7 Condensed Consolidated Statements of Changes in HTML 110K
Total Equity
56: R8 Introduction and Basis of Presentation HTML 70K
59: R9 Significant Accounting Policies HTML 52K
25: R10 Morgan Stanley Smith Barney Holdings LLC. HTML 54K
57: R11 Fair Value Disclosures HTML 1.40M
100: R12 Securities Available for Sale HTML 249K
91: R13 Collateralized Transactions HTML 106K
74: R14 Variable Interest Entities and Securitization HTML 299K
Activities
116: R15 Financing Receivables HTML 201K
97: R16 Goodwill and Net Intangible Assets HTML 87K
21: R17 Borrowings and Other Secured Financings HTML 63K
29: R18 Derivative Instruments and Hedging Activities HTML 608K
115: R19 Commitments, Guarantees and Contingencies HTML 180K
119: R20 Regulatory Requirements HTML 113K
123: R21 Redeemable Noncontrolling Interests and Total HTML 116K
Equity
118: R22 Earnings Per Common Share HTML 103K
82: R23 Interest Income and Interest Expense HTML 74K
26: R24 Employee Benefit Plans HTML 62K
52: R25 Income Taxes HTML 55K
36: R26 Segment and Geographic Information HTML 225K
35: R27 Equity Method Investments HTML 53K
61: R28 Discontinued Operations HTML 68K
81: R29 Subsequent Events HTML 48K
94: R30 Significant Accounting Policies (Policy) HTML 53K
42: R31 Fair Value Disclosures (Tables) HTML 1.32M
62: R32 Securities Available for Sale (Tables) HTML 242K
107: R33 Collateralized Transactions (Tables) HTML 95K
39: R34 Variable Interest Entities and Securitization HTML 261K
Activities (Tables)
89: R35 Financing Receivables (Tables) HTML 183K
90: R36 Goodwill and Net Intangible Assets (Tables) HTML 78K
65: R37 Borrowings and Other Secured Financings (Tables) HTML 55K
34: R38 Derivative Instruments and Hedging Activities HTML 561K
(Tables)
88: R39 Commitments, Guarantees and Contingencies (Tables) HTML 112K
40: R40 Regulatory Requirements (Tables) HTML 72K
60: R41 Redeemable Noncontrolling Interests and Total HTML 93K
Equity (Tables)
95: R42 Earnings Per Common Share (Tables) HTML 101K
47: R43 Interest Income and Interest Expense (Tables) HTML 73K
84: R44 Employee Benefit Plans (Tables) HTML 53K
72: R45 Segment and Geographic Information (Tables) HTML 222K
38: R46 Discontinued Operations (Tables) HTML 65K
104: R47 Significant Accounting Policies (Details) HTML 40K
31: R48 Morgan Stanley Smith Barney Holdings LLC. HTML 71K
(Details)
41: R49 Fair Value Disclosures (Narrative) (Details) HTML 47K
71: R50 Fair Value Disclosures (Assets and Liabilities HTML 334K
Measured at Fair Value on a Recurring Basis)
(Details)
78: R51 Fair Value Disclosures (Changes in Level 3 Assets HTML 368K
and Liabilities Measured at Fair Value on a
Recurring Basis) (Details)
103: R52 Fair Value Disclosures (Quantitative Information HTML 270K
about Recurring Level 3 Fair Value Measurements)
(Details)
22: R53 Fair Value Disclosures (Fair Value of Investments HTML 89K
that Calculate Net Asset Value) (Details)
86: R54 Fair Value Disclosures (Net Gains (Losses) Due to HTML 60K
Changes in Fair Value for Items Measured at Fair
Value Pursuant to the Fair Value Option Election)
(Details)
68: R55 Fair Value Disclosures (Short-term and Long-term HTML 45K
Borrowings) (Details)
28: R56 Fair Value Disclosures (Gains (Losses) Due to HTML 44K
Changes in Instrument Specific Credit Risk)
(Details)
33: R57 Fair Value Disclosures (Amount by Which HTML 54K
Contractual Principal Amount Exceeds Fair Value)
(Details)
76: R58 Fair Value Disclosures (Assets Measured at Fair HTML 135K
Value on a Nonrecurring Basis) (Details)
113: R59 Fair Value Disclosures (Financial Instruments Not HTML 140K
Carried at FV) (Details)
126: R60 Securities Available for Sale (Schedule of HTML 97K
Available for Sale Securities) (Details)
124: R61 Securities Available for Sale (Schedule of HTML 93K
Available for Sale Securities in an Unrealized
Loss Position) (Details)
92: R62 Securities Available for Sale (Schedule of HTML 128K
Amortized Cost and Fair Value of Available for
Sale Debt Securities by Contractual Date)
(Details)
46: R63 Securities Available for Sale (Schedule of HTML 44K
Proceeds of Sale of Securities Available for Sale)
(Details)
43: R64 Collateralized Transactions (Narrative) (Details) HTML 47K
87: R65 Collateralized Transactions (Balance Sheet HTML 108K
Offsetting) (Details)
112: R66 Collateralized Transactions (Financial Instruments HTML 43K
Owned That Have Been Loaned Or Pledged To
Counterparties) (Details)
27: R67 Collateralized Transactions (Cash And Securities HTML 47K
Deposited With Clearing Organizations Or
Segregated Under Federal And Other Regulations Or
Requirements) (Details)
117: R68 Variable Interest Entities and Securitization HTML 58K
Activities (Narrative) (Details)
48: R69 Variable Interest Entities and Securitization HTML 48K
Activities (Consolidated VIEs) (Details)
66: R70 Variable Interest Entities and Securitization HTML 121K
Activities (Non-Consolidated VIEs) (Details)
63: R71 Variable Interest Entities and Securitization HTML 76K
Activities (Information Regarding SPEs) (Details)
45: R72 Variable Interest Entities and Securitization HTML 63K
Activities (Fair Value of Assets and Liabilities)
(Details)
58: R73 Variable Interest Entities and Securitization HTML 45K
Activities (Transfers of Assets Treated as Secured
Financings) (Details)
99: R74 Variable Interest Entities and Securitization HTML 56K
Activities (Mortgage Servicing Activities for
SPEs) (Details)
80: R75 Financing Receivables (Loans Held for Investment) HTML 66K
(Details)
16: R76 Financing Receivables (Loans and Lending-related HTML 102K
Commitments) (Details)
85: R77 Financing Receivables (Employee Loans) (Details) HTML 47K
17: R78 Goodwill and Net Intangible Assets (Changes in HTML 66K
Carrying Amount of Goodwill) (Details)
79: R79 Goodwill and Net Intangible Assets (Changes in HTML 67K
Carrying Amount of Intangible Assets) (Details)
32: R80 Borrowings and Other Secured Financings HTML 49K
(Narratives) (Details)
110: R81 Borrowings and Other Secured Financings HTML 52K
(Components of Long-term Borrowings) (Details)
106: R82 Borrowings and Other Secured Financings (Other HTML 42K
Secured Financings) (Details)
114: R83 Derivative Instruments and Hedging Activities HTML 84K
(Other Disclosures) (Details)
122: R84 Derivative Instruments and Hedging Activities HTML 105K
(Components of Derivative Products) (Details)
127: R85 Derivative Instruments and Hedging Activities HTML 75K
(Fair Value of OTC Derivatives in a Gain Position)
(Details)
15: R86 Derivative Instruments and Hedging Activities HTML 239K
(Fair Value of Derivative Instruments Designated
and Not Designated as Accounting Hedges by Type of
Derivative Contract on a Gross Basis) (Details)
30: R87 Derivative Instruments and Hedging Activities HTML 81K
(Gains or Losses on Derivative Instruments,
Related Hedge Items and Hedge Ineffectiveness)
(Details)
111: R88 Derivative Instruments and Hedging Activities HTML 163K
(Notional and Fair Value of Protection Sold and
Purchased through Credit Default Swaps) (Details)
93: R89 Commitments, Guarantees and Contingencies HTML 75K
(Narrative) (Details)
102: R90 Commitments, Guarantees and Contingencies HTML 83K
(Commitments) (Details)
98: R91 Commitments, Guarantees and Contingencies HTML 86K
(Obligations under Guarantee Arrangements)
(Details)
19: R92 Regulatory Requirements (Narrative) (Details) HTML 68K
49: R93 Regulatory Requirements (Capital Measures) HTML 73K
(Details)
50: R94 Regulatory Requirements (Significant U.S. Bank HTML 70K
Operating Subsidiaries' Capital) (Details)
67: R95 Redeemable Noncontrolling Interests and Total HTML 72K
Equity (Narrative) (Details)
51: R96 Redeemable Noncontrolling Interests and Total HTML 57K
Equity (Redeemable Noncontrolling Interests)
(Details)
109: R97 Redeemable Noncontrolling Interests and Total HTML 58K
Equity (Preferred Stock) (Details)
37: R98 Redeemable Noncontrolling Interests and Total HTML 61K
Equity (Components of Accumulated Other
Comprehensive Income (Loss)) (Details)
20: R99 Earnings Per Common Share (Calculation of Basic HTML 140K
and Diluted EPS) (Details)
108: R100 Earnings Per Common Share (Antidilutive Securities HTML 44K
Excluded from the Computation of Diluted EPS)
(Details)
64: R101 Interest Income and Interest Expense (Details) HTML 87K
96: R102 Employee Benefit Plans (Components of Net Periodic HTML 62K
Benefit Expense) (Details)
83: R103 Income Taxes (Reconciliation of the Provision for HTML 50K
(Benefit from) Income Taxes and the U.S. Federal
Statutory Income Tax Rate) (Details)
105: R104 Segment and Geographic Information (Selected HTML 160K
Financial Information by Segments) (Details)
120: R105 Segment and Geographic Information (Assets by HTML 46K
Segments) (Details)
55: R106 Segment and Geographic Information (Net Revenues HTML 48K
and Total Assets by Geographic Area) (Details)
18: R107 Equity Method Investments (Narratives) (Details) HTML 62K
44: R108 Discontinued Operations (Details) HTML 59K
125: R109 Subsequent Events (Details) HTML 47K
70: XML IDEA XML File -- Filing Summary XML 206K
23: EXCEL IDEA Workbook of Financial Reports XLSX 711K
69: EXCEL IDEA Workbook of Financial Reports (.xls) XLS 8.19M
9: EX-101.INS XBRL Instance -- ms-20130930 XML 17.44M
11: EX-101.CAL XBRL Calculations -- ms-20130930_cal XML 501K
12: EX-101.DEF XBRL Definitions -- ms-20130930_def XML 3.49M
13: EX-101.LAB XBRL Labels -- ms-20130930_lab XML 6.38M
14: EX-101.PRE XBRL Presentations -- ms-20130930_pre XML 4.51M
10: EX-101.SCH XBRL Schema -- ms-20130930 XSD 749K
53: ZIP XBRL Zipped Folder -- 0001193125-13-425422-xbrl Zip 853K
| EX-10.1 |
Exhibit 10.1
Third Amendment to Investor Agreement
THIS THIRD AMENDMENT TO THE INVESTOR AGREEMENT (this “Amendment”), dated as of October 3, 2013, 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 (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) April 13, 2016, 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) April 13, 2016 (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. |
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/ Ruth Porat |
By: | /s/ Masaaki Tanaka | |||||
| Name: |
Ruth Porat | Name: | Masaaki Tanaka | |||||
| Title: |
Chief Financial Officer | Title: | Deputy President | |||||
[Signature Page to Third Amendment to Investor Agreement]
| This ‘10-Q’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 4/13/16 | 4, FWP | |||
| Filed on: | 11/4/13 | 424B2, FWP | ||
| 10/3/13 | 424B2, CERTNYS, FWP | |||
| For Period end: | 9/30/13 | 13F-HR, 424B2, 8-K, 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 |