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