# EDGAR Filing Document

**Accession Number:** 0000895421
**File Stem:** 0000950103-23-000267
**Filing Date:** 2023-1
**Character Count:** 6625
**Document Hash:** 6293e8815b1ef791c64816ab9d130383
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950103-23-000267.hdr.sgml**: 20230109

**ACCESSION NUMBER**: 0000950103-23-000267

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230103

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**FILED AS OF DATE**: 20230109

**DATE AS OF CHANGE**: 20230109

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** MORGAN STANLEY
- **CENTRAL INDEX KEY:** 0000895421
- **STANDARD INDUSTRIAL CLASSIFICATION:** SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
- **IRS NUMBER:** 363145972
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-11758
- **FILM NUMBER:** 23518288

**BUSINESS ADDRESS:**
- **STREET 1:** 1585 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036
- **BUSINESS PHONE:** 212-761-4000

**MAIL ADDRESS:**
- **STREET 1:** 1585 BROADWAY
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10036

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** MORGAN STANLEY DEAN WITTER & CO
- **DATE OF NAME CHANGE:** 19980326

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** DEAN WITTER DISCOVER & CO
- **DATE OF NAME CHANGE:** 19960315

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549**

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**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): January 3, 2023

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| |
|:---|
| **Morgan Stanley** |
| (Exact Name of Registrant<br> as Specified in Charter) |

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| | | |
|:---|:---|:---|
| **Delaware** | **1-11758** | **36-3145972** |
| (State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |

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| | |
|:---|:---|
| **1585 Broadway, New York, New York** | **10036** |
| (Address of Principal Executive Offices) | (Zip Code) |

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Registrant's telephone number, including area code: (212) 761-4000

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| |
|:---|
| **Not Applicable** |
| (Former Name or Former Address, if Changed Since Last Report) |

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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:

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| | | |
|:---|:---|:---|
| 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 |
| &nbsp;&nbsp;&nbsp; Depositary Shares, each representing 1/1,000th interest in a share of Floating Rate<br> Non-Cumulative Preferred Stock, Series A, $0.01 par value | MS/PA | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate<br> Non-Cumulative Preferred Stock, Series E, $0.01 par value | MS/PE | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate<br> Non-Cumulative Preferred Stock, Series F, $0.01 par value | MS/PF | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate<br> Non-Cumulative Preferred Stock, Series I, $0.01 par value | MS/PI | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate<br> Non-Cumulative Preferred Stock, Series K, $0.01 par value | MS/PK | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Depositary Shares, each representing 1/1,000th interest in a share of 4.875%<br> Non-Cumulative Preferred Stock, Series L, $0.01 par value | MS/PL | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Depositary Shares, each representing 1/1,000th interest in a share of 4.250%<br> Non-Cumulative Preferred Stock, Series O, $0.01 par value | MS/PO | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Depositary Shares, each representing 1/1,000th interest in a share of 6.500%<br> Non-Cumulative Preferred Stock, Series P, $0.01 par value | MS/PP | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Global Medium-Term Notes, Series A, Fixed Rate Step-Up Senior Notes Due 2026<br> of Morgan Stanley Finance LLC (and Registrant's guarantee with respect thereto) | MS/26C | New York Stock Exchange |
| &nbsp;&nbsp;&nbsp; Global Medium-Term Notes, Series A, Floating Rate Notes Due 2029<br> of Morgan Stanley Finance LLC (and Registrant's guarantee with respect thereto) | MS/29 | New York Stock Exchange |

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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. ☐

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| | |
|:---|:---|
| **Item 5.02** | **Departure of Certain Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers** |

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On January 9, 2023, Morgan Stanley announced that Jonathan M. Pruzan, Executive Vice President and Chief Operating Officer, is retiring from his position effective January 31, 2023.

**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.

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| | | | | |
|:---|:---|:---|:---|:---|
| | | MORGAN STANLEY<br> (Registrant) | MORGAN STANLEY<br> (Registrant) | MORGAN STANLEY<br> (Registrant) |
| Date: | January 9, 2023 | By: | /s/ Martin M. Cohen | /s/ Martin M. Cohen |
|  |  |  | Name: | Martin M. Cohen |
|  |  |  | Title: | Corporate Secretary |

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