Morgan Stanley 2009 Annual Report Download

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
For the year ended December 31, 2009
Commission File Number 1-11758
(Exact name of Registrant as specified in its charter)
Delaware
(State or other jurisdiction of
incorporation or organization)
1585 Broadway
New York, NY 10036
(Address of principal executive offices,
including zip code)
36-3145972
(I.R.S. Employer Identification No.)
[phone]
(Registrant’s telephone number,
including area code)
Title of each class
Name of exchange on
which registered
Securities registered pursuant to Section 12(b) of the Act:
Common Stock, $0.01 par value .................................................................................. NewYork 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 ................................................................................................... NewYork Stock Exchange
6
1
⁄ 4 % Capital Securities of Morgan Stanley Capital Trust III (and Registrant’s guaranty with respect thereto) ..................... NewYork Stock Exchange
6
1
⁄ 4 % Capital Securities of Morgan Stanley Capital Trust IV (and Registrant’s guaranty with respect thereto) ..................... NewYork Stock Exchange
5
3
⁄ 4 % Capital Securities of Morgan Stanley Capital Trust V (and Registrant’s guaranty with respect thereto) ...................... NewYork Stock Exchange
6.60% Capital Securities of Morgan Stanley Capital Trust VI (and Registrant’s guaranty with respect thereto) ..................... NewYork Stock Exchange
6.60% Capital Securities of Morgan Stanley Capital Trust VII (and Registrant’s guaranty with respect thereto) .................... NewYork Stock Exchange
6.45% Capital Securities of Morgan Stanley Capital Trust VIII (and Registrant’s guaranty with respect thereto) ................... NewYork Stock Exchange
Exchangeable Notes due December 30, 2010; Exchangeable Notes due June 30, 2011 ........................................ NYSE Amex LLC
BRIDGESSM due June 15, 2010 ................................................................................... NYSE Arca, Inc.
Capital Protected Notes due April 20, 2010; Capital Protected Notes due July 20, 2010 (2 issuances); Capital Protected Notes due
August 30, 2010; Capital Protected Notes due October 30, 2010; Capital Protected Notes due January 30, 2011; Capital Protected
Notes due February 20, 2011; Capital Protected Notes due March 30, 2011 (2 issuances); Capital Protected Notes due June 30, 2011;
Capital Protected Notes due August 20, 2011; Capital Protected Notes due October 30, 2011; Capital Protected Notes due
December 30, 2011; Capital Protected Notes due September 30, 2012 ................................................... NYSE Arca, Inc.
Capital Protected Notes due September 1, 2010 .................................................................... TheNASDAQ Stock Market LLC
MPSSM due June 15, 2010; MPS due December 30, 2010; MPS due March 30, 2012 ......................................... NYSE Arca, Inc.
MPS due December 30, 2010 ..................................................................................... NYSE Amex LLC
Stock Participation Notes due September 15, 2010; Stock Participation Notes due December 30, 2010 ........................... NYSE Amex LLC
Buffered PLUSSM due December 20, 2010; Buffered PLUS due March 20, 2011 ............................................ NYSE Arca, Inc.
PROPELSSM due December 30, 2011 (3 issuances) ................................................................... NYSE Arca, Inc.
Protected Absolute Return Barrier Notes due March 20, 2010; Protected Absolute Return Barrier Notes due July 20, 2010; Protected
Absolute Return Barrier Notes due August 20, 2010; Protected Absolute Return Barrier Notes due March 20, 2011 .............. NYSE Arca, Inc.
Strategic Total Return Securities due July 30, 2011 ................................................................... NYSE Arca, Inc.
Market Vectors ETNs due March 31, 2020 (2 issuances); Market Vectors ETNs due April 30, 2020 (2 issuances) .................. NYSE Arca, Inc.
Targeted Income Strategic Total Return Securities due March 30, 2010; Targeted Income Strategic Total Return Securities due July 30,
2011; Targeted Income Strategic Total Return Securities due January 15, 2012 ........................................... NYSE Arca, Inc.
Targeted Income Strategic Total Return Securities due October 30, 2011 .................................................. TheNASDAQ Stock Market LLC
Indicate by check mark if Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. YES ÈNO ‘
Indicate by check mark if Registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. YES ‘NO È
Indicate by check mark whether Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12
months (or for such shorter period that Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. YES ÈNO ‘
Indicate by check mark whether the Registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted
and posted pursuant to Rule 405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to
submit and post such files). Yes ÈNo ‘
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant’s
knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. È
Indicate by check mark whether the Registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See the definitions of
“large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act. (Check one):
Large Accelerated Filer È
Non-Accelerated Filer ‘
(Do not check if a smaller reporting company)
Accelerated Filer ‘
Smaller reporting company ‘
Indicate by check mark whether Registrant is a shell company (as defined in Exchange Act Rule 12b-2). YES ‘NO È
As of June 30, 2009, the aggregate market value of the common stock of Registrant held by non-affiliates of Registrant was approximately $38,566,093,047. This calculation
does not reflect a determination that persons are affiliates for any other purposes.
As of January 31, 2010, there were 1,398,087,044 shares of Registrant’s common stock, $0.01 par value, outstanding.
Documents Incorporated By Reference: Portions of Registrant’s definitive proxy statement for its 2010 annual meeting of shareholders are incorporated by reference in Part
III of this Form 10-K.