Current Report Filing (8-k)
April 15 2021 - 4:58PM
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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):
April 15, 2021
MORGAN STANLEY
(Exact Name of Registrant
as Specified in Charter)
Delaware
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1-11758
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36-3145972
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(State or Other Jurisdiction of Incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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1585 Broadway, New York, New York
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10036
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(Address of Principal Executive Offices)
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(Zip Code)
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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:
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☐
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Written communications pursuant
to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to
Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered
pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, $0.01 par value
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MS
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New York Stock Exchange
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Depositary Shares, each representing 1/1,000th interest in a share
of Floating Rate
Non-Cumulative Preferred Stock, Series A, $0.01 par value
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MS/PA
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New York Stock Exchange
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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
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MS/PE
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New York Stock Exchange
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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
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MS/PF
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New York Stock Exchange
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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
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MS/PI
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New York Stock Exchange
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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
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MS/PK
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New York Stock Exchange
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Depositary Shares, each representing 1/1,000th interest in a share
of 4.875%
Non-Cumulative Preferred Stock, Series L, $0.01 par value
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MS/PL
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New York Stock Exchange
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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)
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MS/26C
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New York Stock Exchange
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Morgan Stanley Cushing® MLP High Income Index ETNs due March 21, 2031
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MLPY
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NYSE Arca, Inc.
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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 5.03. Amendments to Articles of Incorporation or
Bylaws; Change in Fiscal Year.
On April 15, 2021, Morgan
Stanley (the “Registrant”) filed a Certificate of Elimination with the Secretary of State of the State of Delaware to eliminate
its Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series J (the “Series J Preferred Stock”), which was redeemed by
the Registrant on April 15, 2021. The Certificate of Elimination (a) eliminated the previous designation of 60,000 shares of Series J
Preferred Stock, none of which were outstanding at the time of filing, (b) upon such elimination, caused such shares of Series J Preferred
Stock to resume their status as undesignated shares of preferred stock of the Registrant, and (c) eliminated from the Amended and Restated
Certificate of Incorporation of the Registrant all references to the Series J Preferred Stock. A copy of the Certificate of Elimination
is filed as Exhibit 3.1 to this Current Report on Form 8-K and is incorporated herein by reference.
Item 9.01
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Financial Statements and Exhibits.
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(d)
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Exhibits
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The following exhibits are filed as part of this Report on Form 8-K:
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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.
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MORGAN STANLEY
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(Registrant)
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Date:
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April 15, 2021
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By:
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/s/ Jarett H. Schultz
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Name:
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Jarett H. Schultz
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Title:
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Assistant Secretary and Counsel
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