false 0000895421 0000895421 2024-12-19 2024-12-19 0000895421 MS:CommonStock0.01ParValueMember 2024-12-19 2024-12-19 0000895421 us-gaap:SeriesAPreferredStockMember 2024-12-19 2024-12-19 0000895421 us-gaap:SeriesEPreferredStockMember 2024-12-19 2024-12-19 0000895421 us-gaap:SeriesFPreferredStockMember 2024-12-19 2024-12-19 0000895421 MS:SeriesIPreferredStockMember 2024-12-19 2024-12-19 0000895421 MS:SeriesKPreferredStockMember 2024-12-19 2024-12-19 0000895421 MS:SeriesLPreferredStockMember 2024-12-19 2024-12-19 0000895421 MS:SeriesOPreferredStockMember 2024-12-19 2024-12-19 0000895421 MS:SeriesPPreferredStockMember 2024-12-19 2024-12-19 0000895421 MS:SeriesQPreferredStockMember 2024-12-19 2024-12-19 0000895421 MS:GlobalMediumtermNotesSeriesFixedRateStepupSeniorNotesDue2026Member 2024-12-19 2024-12-19 0000895421 MS:GlobalMediumtermNotesSeriesFloatingRateNotesDue2029Member 2024-12-19 2024-12-19 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

 

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): December 19, 2024

 

Morgan Stanley

(Exact Name of Registrant

as Specified in Charter)

 

Delaware 1-11758 36-3145972
(State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.)
     
1585 Broadway, New York, New York   10036
(Address of Principal Executive Offices)   (Zip Code)

 

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:

____________________________

 

☐Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

 

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, $0.01 par value MS New York 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

 MS/PA New York Stock Exchange

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

 MS/PE New York Stock Exchange

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

 MS/PF New York Stock Exchange

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

 MS/PI New York Stock Exchange

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

 MS/PK New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of 4.875%

Non-Cumulative Preferred Stock, Series L, $0.01 par value

 MS/PL New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of 4.250%

Non-Cumulative Preferred Stock, Series O, $0.01 par value

 MS/PO New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of 6.500%

Non-Cumulative Preferred Stock, Series P, $0.01 par value

 MS/PP New York Stock Exchange

Depositary Shares, each representing 1/1,000th interest in a share of 6.625%

Non-Cumulative Preferred Stock, Series Q, $0.01 par value

 MS/PQ New York Stock Exchange

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)

 MS/26C New York Stock Exchange

Global Medium-Term Notes, Series A, Floating Rate Notes Due 2029

of Morgan Stanley Finance LLC (and Registrant’s guarantee with respect thereto)

 MS/29 New York Stock Exchange

 

 

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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

On December 19, 2024, Stephen Luczo tendered his resignation as a member of the Board of Directors (the “Board”) of Morgan Stanley (the "Company"), effective December 31, 2024. Mr. Luczo’s resignation was for personal reasons and was not due to any disagreement with the Company, the Company’s management, or the Board on any matter relating to the Company’s operations, policies or practices.

 

In light of Mr. Luczo’s resignation from the Board and Mr. Gorman’s previously announced retirement from the Board, the Board will reduce its size from 15 directors to 13 directors, effective January 1, 2025.

 

Item 9.01.     Financial Statements and Exhibits.
(d)   Exhibits
     
Exhibit    
Number   Description
101   Interactive Data Files pursuant to Rule 406 of Regulation S-T formatted in Inline eXtensible Business Reporting Language (“Inline XBL”)
104   Cover Page Interactive Data File (formatted in Inline XBRL and contained in Exhibit 101).

 

 

 

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.

 

   

MORGAN STANLEY

(Registrant)

 

     
Date: December 20, 2024   By: /s/ Martin M. Cohen
        Name: Martin M. Cohen
        Title: Corporate Secretary

 

 

 

 

 

 

 

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Document Type 8-K
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Entity File Number 1-11758
Entity Registrant Name Morgan Stanley
Entity Central Index Key 0000895421
Entity Tax Identification Number 36-3145972
Entity Incorporation, State or Country Code DE
Entity Address, Address Line One 1585 Broadway
Entity Address, City or Town New York
Entity Address, State or Province NY
Entity Address, Postal Zip Code 10036
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Common Stock, $0.01 par value  
Title of 12(b) Security Common Stock, $0.01 par value
Trading Symbol MS
Security Exchange Name NYSE
Series A Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series A, $0.01 par value
Trading Symbol MS/PA
Security Exchange Name NYSE
Series E Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series E, $0.01 par value
Trading Symbol MS/PE
Security Exchange Name NYSE
Series F Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series F, $0.01 par value
Trading Symbol MS/PF
Security Exchange Name NYSE
Series I Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series I, $0.01 par value
Trading Symbol MS/PI
Security Exchange Name NYSE
Series K Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series K, $0.01 par value
Trading Symbol MS/PK
Security Exchange Name NYSE
Series L Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series L, $0.01 par value
Trading Symbol MS/PL
Security Exchange Name NYSE
Series O Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series O, $0.01 par value
Trading Symbol MS/PO
Security Exchange Name NYSE
Series P Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series P, $0.01 par value
Trading Symbol MS/PP
Security Exchange Name NYSE
Series Q Preferred Stock [Member]  
Title of 12(b) Security Non-Cumulative Preferred Stock, Series Q, $0.01 par value
Trading Symbol MS/PQ
Security Exchange Name NYSE
Global Medium-Term Notes, Series A, Fixed Rate Step-Up Senior Notes Due 2026  
Title of 12(b) Security Global Medium-Term Notes, Series A, Fixed Rate Step-Up Senior Notes Due 2026
Trading Symbol MS/26C
Security Exchange Name NYSE
Global Medium-Term Notes, Series A, Floating Rate Notes Due 2029  
Title of 12(b) Security Global Medium-Term Notes, Series A, Floating Rate Notes Due 2029
Trading Symbol MS/29
Security Exchange Name NYSE
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