false 0000895421 0000895421 2023-11-30 2023-11-30 0000895421 us-gaap:CommonClassAMember 2023-11-30 2023-11-30 0000895421 us-gaap:SeriesAPreferredStockMember 2023-11-30 2023-11-30 0000895421 us-gaap:SeriesEPreferredStockMember 2023-11-30 2023-11-30 0000895421 us-gaap:SeriesFPreferredStockMember 2023-11-30 2023-11-30 0000895421 MS:SeriesIPreferredStockMember 2023-11-30 2023-11-30 0000895421 MS:SeriesKPreferredStockMember 2023-11-30 2023-11-30 0000895421 MS:SeriesLPreferredStockMember 2023-11-30 2023-11-30 0000895421 MS:SeriesOPreferredStockMember 2023-11-30 2023-11-30 0000895421 MS:SeriesPPreferredStockMember 2023-11-30 2023-11-30 0000895421 MS:GlobalMediumTermNotesSeriesAFixedRateStepUpSeniorNotesDue2026ofMorganStanleyFinanceLLCMember 2023-11-30 2023-11-30 0000895421 MS:GlobalMediumTermNotesSeriesAFloatingRateNotesDue2029OfMorganStanleyFinanceLLCMember 2023-11-30 2023-11-30 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

FORM 8-K

 

CURRENT REPORT

Pursuant To Section 13 or 15(d) of

the Securities Exchange Act of 1934

 

Date of report (Date of earliest event reported): November 30, 2023

 

Morgan Stanley

(Exact Name of Registrant

as Specified in Charter)

 

Delaware 1-11758 36-3145972
(State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.)

 

1585 Broadway, New York, New York   10036
(Address of Principal Executive Offices)   (Zip Code)

 

Registrant’s telephone number, including area code: (212) 761-4000

 

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

 

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, $0.01 par value MS New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of Floating Rate

Non-Cumulative Preferred Stock, Series A, $0.01 par value

 MS/PA New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate

Non-Cumulative Preferred Stock, Series E, $0.01 par value

 MS/PE New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate

Non-Cumulative Preferred Stock, Series F, $0.01 par value

 MS/PF New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate

Non-Cumulative Preferred Stock, Series I, $0.01 par value

 MS/PI New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate

Non-Cumulative Preferred Stock, Series K, $0.01 par value

 MS/PK New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of 4.875%

Non-Cumulative Preferred Stock, Series L, $0.01 par value

 MS/PL New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of 4.250%

Non-Cumulative Preferred Stock, Series O, $0.01 par value

 MS/PO New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of 6.500%

Non-Cumulative Preferred Stock, Series P, $0.01 par value

 MS/PP New York Stock Exchange

Global Medium-Term Notes, Series A, Fixed Rate Step-Up Senior Notes Due 2026

of Morgan Stanley Finance LLC (and Registrant’s guarantee with respect thereto)

 MS/26C New York Stock Exchange

Global Medium-Term Notes, Series A, Floating Rate Notes Due 2029

of Morgan Stanley Finance LLC (and Registrant’s guarantee with respect thereto)

 MS/29 New York Stock Exchange

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ☐

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

 

 

 

Item 5.02Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

Morgan Stanley is deeply saddened to learn that Alistair Darling passed away on November 30, 2023. Mr. Darling had been a member of the Board of Directors (the “Board”) of Morgan Stanley since 2016, and was a member of both the Audit Committee and Risk Committee of the Board.

 

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.

 

   

MORGAN STANLEY

(Registrant) 

     
Date:  December 1, 2023               By: /s/ Martin M. Cohen
        Name: Martin M. Cohen
        Title: Corporate Secretary