Morgan Stanley 2014 Annual Report Download - page 324

Exhibit
No. Description
4.13 Amended and Restated Trust Agreement of Morgan Stanley Capital Trust IV dated as of April 21,
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 May 31, 2003).
4.14 Amended and Restated Trust Agreement of Morgan Stanley Capital Trust V dated as of July 16, 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 August 31, 2003).
4.15 Amended and Restated Trust Agreement of Morgan Stanley Capital Trust VI dated as of January 26,
2006 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, 2006).
4.16 Amended and Restated Trust Agreement of Morgan Stanley Capital Trust VII dated as of October 12,
2006 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 4.3 to
Morgan Stanley’s Current Report on Form 8-K dated October 12, 2006).
4.17 Amended and Restated Trust Agreement of Morgan Stanley Capital Trust VIII dated as of April 26,
2007 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 4.3 to
Morgan Stanley’s Current Report on Form 8-K dated April 26, 2007).
4.18 Instruments defining the Rights of Security Holders, Including Indentures—Except as set forth in
Exhibits 4.1 through 4.17 above, the instruments defining the rights of holders of long-term debt
securities of Morgan Stanley and its subsidiaries are omitted pursuant to Section (b)(4)(iii) of
Item 601 of Regulation S-K. Morgan Stanley hereby agrees to furnish copies of these instruments to
the SEC upon request.
10.1 Amended and Restated Trust Agreement dated as of October 18, 2011 by and between Morgan
Stanley and State Street Bank and Trust Company (Exhibit 10.1 to Morgan Stanley’s Annual Report
on Form 10-K for the year ended December 31, 2011).
10.2 Transaction Agreement dated as of April 21, 2011 between Morgan Stanley and Mitsubishi UFJ Financial
Group, Inc. (Exhibit 10.1 to Morgan Stanley’s Current Report on Form 8-K dated April 21, 2011).
10.3 Amended and Restated Investor Agreement dated as of June 30, 2011 by and between Morgan
Stanley and Mitsubishi UFJ Financial Group, Inc. (Exhibit 10.1 to Morgan Stanley’s Current Report
on Form 8-K dated June 30, 2011), as amended by Third Amendment, dated October 3, 2013
(Exhibit 10.1 to Morgan Stanley’s Quarterly Report on Form 10-Q for the quarter ended
September 30, 2013).
10.4† Morgan Stanley 401(k) Plan, amended and restated as of January 1, 2013 (Exhibit 10.6 to Morgan
Stanley Annual Report on Form 10-K for the year ended December 31, 2012), as amended by
Amendment (Exhibit 10. 5 to Morgan Stanley’s Annual Report on Form 10-K for the year ended
December 31, 2013) and Amendment (Exhibit 10.6 to Morgan Stanley’s Annual Report on Form 10-K
for the year ended December 31, 2013).
10.5†* Amendment to Morgan Stanley 401(k) Plan, dated as of December 19, 2014.
10.6† Tax Deferred Equity Participation Plan as amended and restated as of November 26, 2007
(Exhibit 10.9 to Morgan Stanley’s Annual Report on Form 10-K for the fiscal year ended
November 30, 2007).
10.7† Directors’ Equity Capital Accumulation Plan as amended and restated as of March 22, 2012
(Exhibit 10.2 to Morgan Stanley’s Current Report on Form 8-K dated May 15, 2012).
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