Morgan Stanley 2009 Annual Report Download - page 251

Exhibit
No. Description
10.3 Securities Purchase Agreement dated as of September 29, 2008 by and between Morgan Stanley and
Mitsubishi UFJ Financial Group, Inc., and the first amendment thereto entered into on October 3,
2008, the second amendment thereto entered into on October 8, 2008 and the third amendment
thereto entered into on October 13, 2008 (Exhibit 10.1 to Morgan Stanley’s Current Report on Form
8-K dated October 13, 2008).
10.4 Investor Agreement dated as of October 13, 2008 by and between Morgan Stanley and Mitsubishi
UFJ Financial Group, Inc. (Exhibit 10.2 to Morgan Stanley’s Current Report on Form 8-K dated
October 13, 2008) as amended by Amendment dated as of October 27, 2008 (Exhibit 99.2 to Morgan
Stanley’s Current Report on Form 8-K dated October 26, 2008).
10.5 Registration Rights Agreement dated as of October 13, 2008 by and between Morgan Stanley and
Mitsubishi UFJ Financial Group, Inc. (Exhibit 10.3 to Morgan Stanley’s Current Report on
Form 8-K dated October 13, 2008).
10.6 Amended and Restated Joint Venture Contribution and Formation Agreement dated as of May 29,
2009 by and among Citigroup Inc. and Morgan Stanley and Morgan Stanley Smith Barney Holdings
LLC (Exhibit 10.1 to Morgan Stanley’s Current Report on Form 8-K dated May 29, 2009).
10.7 Transaction Agreement dated as of October 19, 2009 between Morgan Stanley and Invesco Ltd.
(Exhibit 10 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended September 30,
2009).
10.8† Morgan Stanley 401(k) Plan (f/k/a the Morgan Stanley DPSP/START Plan) dated as of October 1,
2002 (Exhibit 10.17 to Morgan Stanley’s Annual Report on Form 10-K for the fiscal year ended
November 30, 2002) as amended by Amendment (Exhibit 10.18 to Morgan Stanley’s Annual Report
on Form 10-K for the fiscal year ended November 30, 2002), Amendment (Exhibit 10.18 to Morgan
Stanley’s Annual Report on Form 10-K for the fiscal year ended November 30, 2003), Amendment
(Exhibit 10.19 to Morgan Stanley’s Annual Report on Form 10-K for the fiscal year ended
November 30, 2003), Amendment (Exhibit 10 to Morgan Stanley’s Quarterly Report on Form 10-Q
for the quarter ended May 31, 2004), Amendment (Exhibit 10.16 to Morgan Stanley’s Annual
Report on Form 10-K for the fiscal year ended November 30, 2004), Amendment (Exhibit 10.1 to
Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended February 28, 2005),
Amendment (Exhibit 10.2 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended
February 28, 2005), Amendment (Exhibit 10.1 to Morgan Stanley’s Quarterly Report on Form 10-Q
for the quarter ended May 31, 2005), Amendment (Exhibit 10.8 to Morgan Stanley’s Annual Report
on Form 10-K for the fiscal year ended November 30, 2005), Amendment (Exhibit 10 to Morgan
Stanley’s Quarterly Report on Form 10-Q for the quarter ended February 28, 2007), Amendment
(Exhibit 10.2 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended August 31,
2007), Amendment (Exhibit 10.6 to Morgan Stanley’s Annual Report on Form 10-K for the fiscal
year ended November 30, 2007), Amendment (Exhibit 10.1 to Morgan Stanley’s Quarterly Report
on Form 10-Q for the quarter ended August 31, 2008), Amendment (Exhibit 10.12 to Morgan
Stanley’s Annual Report on Form 10-K for the fiscal year ended November 30, 2008), Amendment
(Exhibit 10.1 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended March 31,
2009) and Amendment (Exhibit 10.2 to Morgan Stanley’s Quarterly Report on Form 10-Q for the
quarter ended June 30, 2009).
10.9†* Amendment to Morgan Stanley 401(k) Plan, dated as of December 29, 2009.
10.10† Morgan Stanley 401(k) Savings Plan, dated as of July 1, 2009 (Exhibit 10.3 to Morgan Stanley’s
Quarterly Report on Form 10-Q for the quarter ended June 30, 2009).
10.11†* Amendment to Morgan Stanley 401(k) Savings Plan, dated as of December 29, 2009.
10.12† 1994 Omnibus Equity Plan as amended and restated (Exhibit 10.23 to Morgan Stanley’s Annual
Report on Form 10-K for the fiscal year ended November 30, 2003) as amended by Amendment
(Exhibit 10.11 to Morgan Stanley’s Annual Report on Form 10-K for the fiscal year ended
November 30, 2006).
E-3