0001209191-11-045304.txt : 20110823
0001209191-11-045304.hdr.sgml : 20110823
20110823120929
ACCESSION NUMBER: 0001209191-11-045304
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110823
DATE AS OF CHANGE: 20110823
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: MORGAN STANLEY
CENTRAL INDEX KEY: 0000895421
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 363145972
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
BUSINESS PHONE: 212-761-4000
MAIL ADDRESS:
STREET 1: 1585 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10036
FORMER COMPANY:
FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO
DATE OF NAME CHANGE: 19980326
FORMER COMPANY:
FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO
DATE OF NAME CHANGE: 19960315
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MITSUBISHI UFJ FINANCIAL GROUP INC
CENTRAL INDEX KEY: 0000067088
STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029]
FISCAL YEAR END: 0331
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11758
FILM NUMBER: 111051543
BUSINESS ADDRESS:
STREET 1: 7-1 MARUNOUCHI 2-CHOME
STREET 2: CHIYODA-KU
CITY: TOKYO
STATE: M0
ZIP: 100-8330
BUSINESS PHONE: 2125301784
MAIL ADDRESS:
STREET 1: 1251 AVENUE OF THE AMERICAS 10020-1104
CITY: NEW YORK
STATE: NY
ZIP: 10020-1104
FORMER NAME:
FORMER CONFORMED NAME: BANK OF TOKYO MITSUBISHI LTD /ADR/
DATE OF NAME CHANGE: 20010402
FORMER NAME:
FORMER CONFORMED NAME: MITSUBISHI BANK LTD /ADR/
DATE OF NAME CHANGE: 19920929
FORMER NAME:
FORMER CONFORMED NAME: MITSUBISHI TOKYO FINANCIAL GROUP INC
DATE OF NAME CHANGE: 19920929
4
1
c21198_4x0.xml
MAIN DOCUMENT DESCRIPTION
X0304
4
2011-06-30
0000895421
MORGAN STANLEY
MS
0000067088
MITSUBISHI UFJ FINANCIAL GROUP INC
7-1, MARUNOUCHI 2-CHOME, CHIYODA-KU
TOKYO
M0
100-8330
JAPAN
0
0
1
0
Common Stock
2011-06-30
4
C
0
385464097
20.34
A
432017152
D
Series C Non-Cumulative Non-Voting Perpetual Pref Stk
519882
D
Series B Non-Cumulative Non-Voting Perpetual Conv Pfd Stk
2011-06-30
4
C
0
7839209
D
Common Stock
385464097
0
D
Previously reported
Pursuant to an agreement between Morgan Stanley and the reporting person, Morgan Stanley agreed to adjust the conversion rate with respect to the Series B Preferred Stock such that each share of Series B Preferred Stock would be convertible into 49.1713 shares of Common Stock (rather than the previous 39.604 shares), subject to customary anti-dilution provisions. There was no expiration date for the conversion.
/s/ Akira Kamiya, Managing Officer
2011-08-19