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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): May 21, 2020

 

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 /1,000th 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
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
Morgan Stanley Cushing® MLP High Income Index ETNs due March 21, 2031 MLPY NYSE Arca, Inc.

 

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 5.07. Submission of Matters to a Vote of Security Holders.

 

At the 2020 Annual Meeting of Shareholders (the “Annual Meeting”) of Morgan Stanley (the “Company”), shareholders voted on proposals to: (i) elect directors to the Company’s Board of Directors (the “Board”), (ii) ratify the appointment of Deloitte & Touche LLP as independent auditor and (iii) approve the compensation of executives as disclosed in the proxy statement filed with the Securities and Exchange Commission on April 3, 2020 for the Annual Meeting (the “2020 Proxy Statement”) (a non-binding advisory vote).

 

All nominees for election to the Board were elected for a term that will continue until the next annual meeting of shareholders or until the director’s successor has been duly elected and qualified or the director’s earlier resignation, death or removal. The shareholders’ vote ratified the appointment of the independent auditor. The proposal to approve the compensation of executives as disclosed in the 2020 Proxy Statement, through an advisory vote, was approved.

 

The number of votes cast for or against and the number of abstentions and broker non-votes with respect to each proposal, as applicable, is set forth below. The Company’s independent inspector of election reported the final vote of the shareholders as follows:

 

 1. Election of Directors For Against Abstain Broker
Non -vote
  Elizabeth Corley 1,327,596,417   2,654,696   1,904,696   117,242,515  
  Alistair Darling 1,326,736,429   2,845,684   2,573,696   117,242,515  
  Thomas H. Glocer 1,321,283,859   8,759,057   2,112,893   117,242,515  
  James P. Gorman 1,294,286,307   33,065,881   4,803,621   117,242,515  
  Robert H. Herz 1,323,680,515   6,373,517   2,101,777   117,242,515  
  Nobuyuki Hirano 1,316,771,166   13,544,737   1,839,906   117,242,515  
  Stephen J. Luczo 1,327,741,331   2,334,146   2,080,332   117,242,515  
  Jami Miscik 1,327,703,420   2,458,921   1,993,468   117,242,515  
  Dennis M. Nally 1,321,320,004   8,727,573   2,108,232   117,242,515  
  Takeshi Ogasawara  1,327,514,560   2,777,267   1,863,982   117,242,515  
  Hutham S. Olayan 1,291,353,721   38,674,262   2,127,826   117,242,515  
  Mary L. Schapiro   1,326,453,801   3,907,036   1,794,972   117,242,515  
  Perry M. Traquina 1,327,279,230   2,741,940   2,134,639   117,242,515  
  Rayford Wilkins, Jr. 1,313,383,423   16,739,896   2,032,490   117,242,515  
                   
 2. Ratification of Appointment of Independent Auditor 1,403,266,201   44,546,693   1,585,430   *  
                   
 3. Approval of Compensation of Executives (Non-Binding Advisory Vote) 1,256,454,434   71,297,405   4,403,970   117,242,515  

 ______________

* Not applicable.

 

 

 

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: May 22, 2020   By: /s/ Martin M. Cohen 
        Name: Martin M. Cohen
        Title: Corporate Secretary