0000898822-13-000280.txt : 20130628 0000898822-13-000280.hdr.sgml : 20130628 20130628164653 ACCESSION NUMBER: 0000898822-13-000280 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130628 ITEM INFORMATION: Other Events FILED AS OF DATE: 20130628 DATE AS OF CHANGE: 20130628 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: 13941541 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 8-K 1 projectfinaleform8kforclosin.htm projectfinaleform8kforclosin.htm - Generated by SEC Publisher for SEC Filing

 

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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): June 28, 2013

 

MORGAN STANLEY

(Exact Name of Registrant

as Specified in Charter)

 

 

DELAWARE

 

(State or Other Jurisdiction of Incorporation)

 

1-11758

 

36-3145972

(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))

 

 

 

Item 8.01.     Other Matters.

 

As previously disclosed, on June 21, 2013, Morgan Stanley elected to exercise its right under the Amended and Restated Limited Liability Company Agreement of Morgan Stanley Smith Barney Holdings LLC (“MSSBH”), dated as of May 31, 2009, as amended, to purchase the remaining 35% interest (the “Remaining Interest”) in MSSBH from Citigroup and/or its affiliates.  Morgan Stanley’s acquisition of the Remaining Interest was completed on June 28, 2013.  In addition, on June 28, 2013, MSSBH redeemed all of the Class A Preferred Interests in MSSBH owned by Citigroup and its affiliates. 

 

 

 

 

 

 

 

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.

 

 

Date:      June 28, 2013                                                                       MORGAN STANLEY

 

 

By:

/s/ Martin M. Cohen

 

Name:

Martin M. Cohen

 

Title:

Corporate Secretary