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EX-99.1 - EXHIBIT 99.1 - MORGAN STANLEYdp26268_ex99-1.htm


 
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):  September 15, 2011
 
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:
 
 
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
 
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
 
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
 
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
 

 
 
Item 5.02.  Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
 
On September 15, 2011, Morgan Stanley (the “Company”) announced that John J. Mack will step down as Chairman and as a member of the Board of Directors of the Company, effective December 31, 2011.  James P. Gorman, President and Chief Executive Officer of the Company, will assume the additional position of Chairman of the Board, effective January 1, 2012. 

The Company’s related press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated by reference in its entirety.
 
Item 9.01.  Financial Statements and Exhibits
 
(d)   Exhibits
 
Exhibit 
   
Number
 
Description
     
99.1                 
 
Press release of the Company dated September 15, 2011. 
 
 
 

 
 
 
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: 
September 15, 2011
 
By: 
/s/ Martin M. Cohen
 
       
Name: 
Martin M. Cohen
 
       
Title:
Corporate Secretary