-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NBgjPAFjeYDHIPLelfQ27VlZQfPGYNRdyqJzxDaZVModfkZC+QdK4zcK0JNVizuM eQ5zCvn9zh8fZruWzuseaA== 0000950130-02-005778.txt : 20020813 0000950130-02-005778.hdr.sgml : 20020813 20020813165333 ACCESSION NUMBER: 0000950130-02-005778 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20020813 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: FILED AS OF DATE: 20020813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MORGAN STANLEY CENTRAL INDEX KEY: 0000895421 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 363145972 STATE OF INCORPORATION: DE FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-16589-01 FILM NUMBER: 02730359 BUSINESS ADDRESS: STREET 1: 1585 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2127614000 MAIL ADDRESS: STREET 1: 1221 SIXTH AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: DEAN WITTER DISCOVER & CO DATE OF NAME CHANGE: 19960315 FORMER COMPANY: FORMER CONFORMED NAME: MORGAN STANLEY DEAN WITTER & CO DATE OF NAME CHANGE: 19980326 8-K 1 d8k.txt FORM 8-K 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): August 13, 2002 MORGAN STANLEY (Exact name of registrant as specified in its charter) Delaware 1-11758 36-3145972 (State or other jurisdiction of (Commission (I.R.S. Employer incorporation) File Number) Identification Number) 1585 Broadway, New York, New York 10036 (Address of principal executive offices, including zip code) Registrant's telephone number, including area code: (212) 761-4000 The information in this Current Report on Form 8-K, including the exhibits, is furnished pursuant to Item 9 and shall not be deemed "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities under that Section. Furthermore, the information in this Current Report on Form 8-K, including the exhibits, shall not be deemed to be incorporated by reference into the filings of Morgan Stanley under the Securities Act of 1933. Item 7. Financial Statements, Pro Forma Financial Information and Exhibits. (c) Exhibits The following exhibits are furnished as part of this report. 99.1 Sworn Statement of the Principal Executive Officer, dated August 13, 2002. 99.2 Sworn Statement of the Principal Financial Officer, dated August 13, 2002. Item 9. Regulation FD Disclosure On August 13, 2002, Philip J. Purcell, Chairman of the Board of Directors and Chief Executive Officer of Morgan Stanley, and Stephen S. Crawford, Executive Vice President and Chief Financial Officer of Morgan Stanley, filed with the Securities and Exchange Commission the sworn statements required by the Securities and Exchange Commission's Order Requiring the Filing of Sworn Statements Pursuant to Section 21(a)(1) of the Securities Exchange Act of 1934 dated June 27, 2002 (Order No. 4-460). Copies of these sworn statements, which are attached hereto as Exhibits 99.1 and 99.2, are furnished under Item 9 of this Current Report on Form 8-K. 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, thereto duly authorized. MORGAN STANLEY ----------------------------------------- (Registrant) By: /s/ Ronald T. Carman ------------------------------------- Ronald T. Carman Assistant Secretary Date: August 13, 2002 Index to Exhibits Exhibit No. Description - ----------- ----------- 99.1 Sworn Statement of Philip J. Purcell, Chairman of the Board of Directors and Chief Executive Officer of Morgan Stanley. 99.2 Sworn Statement of Stephen S. Crawford, Executive Vice President and Chief Financial Officer of Morgan Stanley. EX-99.1 3 dex991.txt SWORN STATEMENT OF PHILIP J. PURCELL Exhibit 99.1 Statement Under Oath Of Principal Executive Officer Regarding Facts And Circumstances Relating To Exchange Act Filings I, Philip J. Purcell, Chief Executive Officer of Morgan Stanley, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Morgan Stanley, and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with the Company's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o the Annual Report on Form 10-K for the fiscal year ended November 30, 2001 filed with the Commission of Morgan Stanley; o all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Morgan Stanley filed with the Commission subsequent to the filing of the Form 10-K identified above; and o any amendments to any of the foregoing. Subscribed and sworn to before me this 13th day of /s/ Philip J. Purcell August 2002. - --------------------------- Philip J. Purcell Chief Executive Officer /s/ Michael M. O'Brien August 13, 2002 ---------------------- Notary Public My Commission Expires: October 19, 2002 [Notary Seal] MICHAEL M. O'BRIEN Notary Public, State of New York No.31-5003142 Qualified in New York County Commission Expires Oct. 19, 2002 EX-99.2 4 dex992.txt SWORN STATEMENT OF STEPHEN S. CRAWFORD Exhibit 99.2 Statement Under Oath Of Principal Financial Officer Regarding Facts And Circumstances Relating To Exchange Act Filings I, Stephen S. Crawford, Chief Financial Officer of Morgan Stanley, state and attest that: (1) To the best of my knowledge, based upon a review of the covered reports of Morgan Stanley, and, except as corrected or supplemented in a subsequent covered report: o no covered report contained an untrue statement of a material fact as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed); and o no covered report omitted to state a material fact necessary to make the statements in the covered report, in light of the circumstances under which they were made, not misleading as of the end of the period covered by such report (or in the case of a report on Form 8-K or definitive proxy materials, as of the date on which it was filed). (2) I have reviewed the contents of this statement with the Company's audit committee. (3) In this statement under oath, each of the following, if filed on or before the date of this statement, is a "covered report": o the Annual Report on Form 10-K for the fiscal year ended November 30, 2001 filed with the Commission of Morgan Stanley; o all reports on Form 10-Q, all reports on Form 8-K and all definitive proxy materials of Morgan Stanley filed with the Commission subsequent to the filing of the Form 10-K identified above; and o any amendments to any of the foregoing. Subscribed and sworn to before me this 13th day of August 2002. /s/ Stephen S. Crawford - ------------------------ Stephen S. Crawford Chief Financial Officer /s/ Michael M. O'Brien August 13, 2002 ----------------------- Notary Public My Commission Expires: October 19, 2002 [Notary Seal] MICHAEL M. O'BRIEN Notary Public, State of New York No.31-5003142 Qualified in New York County Commission Expires Oct. 19, 2002 -----END PRIVACY-ENHANCED MESSAGE-----