Morgan Stanley 2014 Annual Report Download - page 323

Exhibit
No. Description
4.3 Senior Indenture dated as of November 1, 2004 between Morgan Stanley and The Bank of New York,
as trustee (Exhibit 4-f to Morgan Stanley’s Registration Statement on Form S-3/A (No. 333-117752),
as amended by First Supplemental Senior Indenture dated as of September 4, 2007 (Exhibit 4.5 to
Morgan Stanley’s Annual Report on Form 10-K for the fiscal year ended November 30, 2007),
Second Supplemental Senior Indenture dated as of January 4, 2008 (Exhibit 4.1 to Morgan Stanley’s
Current Report on Form 8-K dated January 4, 2008), Third Supplemental Senior Indenture dated as of
September 10, 2008 (Exhibit 4 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter
ended August 31, 2008), Fourth Supplemental Senior Indenture dated as of December 1, 2008.
(Exhibit 4.1 to Morgan Stanley’s Current Report on Form 8-K dated December 1, 2008), Fifth
Supplemental Senior Indenture dated as of April 1, 2009 (Exhibit 4 to Morgan Stanley’s Quarterly
Report on Form 10-Q for the quarter ended March 31, 2009), Sixth Supplemental Senior Indenture
dated as of September 16, 2011 (Exhibit 4.1 to Morgan Stanley’s Quarterly Report on Form 10-Q for
the quarter ended September 30, 2011), Seventh Supplemental Senior Indenture dated as of
November 21, 2011 (Exhibit 4.4 to Morgan Stanley’s Annual Report on Form 10-K for the year
ended December 31, 2011), Eighth Supplemental Senior Indenture dated as of May 4, 2012
(Exhibit 4.1 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended June 30,
2012), and Ninth Supplemental Senior Indenture dated as of March 10, 2014 (Exhibit 4.1 to Morgan
Stanley’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2014).
4.4 The Unit Agreement Without Holders’ Obligations, dated as of August 29, 2008, between Morgan
Stanley and The Bank of New York Mellon, as Unit Agent, as Trustee and Paying Agent under the
Senior Indenture referred to therein and as Warrant Agent under the Warrant Agreement referred to
therein (Exhibit 4.1 to Morgan Stanley’s Current Report on Form 8-K dated August 29, 2008).
4.5 Amended and Restated Subordinated Indenture dated as of May 1, 1999 between Morgan Stanley and
The Bank of New York, as trustee (Exhibit 4-f to Morgan Stanley’s Registration Statement on
Form S-3/A (No. 333-75289)).
4.6 Subordinated Indenture dated as of October 1, 2004 between Morgan Stanley and The Bank of
New York, as trustee (Exhibit 4-g to Morgan Stanley’s Registration Statement on Form S-3/A
(No. 333-117752)).
4.7 Junior Subordinated Indenture dated as of March 1, 1998 between Morgan Stanley and The Bank of
New York, as trustee (Exhibit 4.1 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter
ended February 28, 1998).
4.8 Junior Subordinated Indenture dated as of October 1, 2004 between Morgan Stanley and The Bank of
New York, as trustee (Exhibit 4-ww to Morgan Stanley’s Registration Statement on Form S-3/A
(No. 333-117752)).
4.9 Junior Subordinated Indenture dated as of October 12, 2006 between Morgan Stanley and The Bank
of New York, as trustee (Exhibit 4.1 to Morgan Stanley’s Current Report on Form 8-K dated
October 12, 2006).
4.10 Deposit Agreement dated as of July 6, 2006 among Morgan Stanley, JPMorgan Chase Bank, N.A. and
the holders from time to time of the depositary receipts described therein (Exhibit 4.3 to Morgan
Stanley’s Quarterly Report on Form 10-Q for the quarter ended May 31, 2006).
4.11 Depositary Receipt for Depositary Shares, representing Floating Rate Non-Cumulative Preferred
Stock, Series A (included in Exhibit 4.10 hereto).
4.12 Amended and Restated Trust Agreement of Morgan Stanley Capital Trust III dated as of February 27,
2003 among Morgan Stanley, as depositor, The Bank of New York, as property trustee, The Bank of
New York (Delaware), as Delaware trustee, and the administrators named therein (Exhibit 4 to
Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended February 28, 2003).
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