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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 27, 2022 (May 26, 2022)

 

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 1/1,000th 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

Depositary Shares, each representing 1/1,000th interest in a share of 4.250%

Non-Cumulative Preferred Stock, Series O, $0.01 par value

 MS/PO 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

 

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 2022 Annual Meeting of Shareholders (the “Annual Meeting”) of Morgan Stanley (the “Company”) held on Thursday, May 26, 2022, the shareholders of the Company in attendance (the “Shareholders”), constituting a quorum under the Amended and Restated Bylaws of the Company, 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 the Company’s independent auditor for the 2022 fiscal year, and (iii) approve the compensation of the Company’s named executive officers, as disclosed in the proxy statement filed with the Securities and Exchange Commission on April 8, 2022 for the Annual Meeting (the “2022 Proxy”) (a non-binding advisory vote). The Shareholders also voted on a shareholder proposal requesting adoption of a policy to cease financing new fossil fuel development (the “Shareholder Proposal”).

 

At the Annual Meeting, all nominees for election to the Board were elected by the Shareholders. The Shareholders also voted to ratify the appointment of Deloitte & Touche LLP as the Company’s independent auditor for the 2022 fiscal year. The proposal to approve the compensation of the Company’s named executive officers as disclosed in the 2022 Proxy, through an advisory vote, was also approved by the Shareholders. The Shareholder Proposal was not approved by the Shareholders.

 

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

  Alistair Darling 1,460,588,572    8,803,079    2,231,252    128,592,084  
  Thomas H. Glocer 1,433,475,789    35,093,887    3,053,227    128,592,084  
  James P. Gorman 1,421,696,349    47,697,435    2,229,119    128,592,084  
  Robert H. Herz 1,433,607,589    35,014,132    3,001,182    128,592,084  
  Erika H. James 1,465,705,759    3,844,309    2,072,835    128,592,084  
  Hironori Kamezawa 1,461,657,461    8,044,221    1,921,221    128,592,084  
  Shelley B. Leibowitz 1,461,935,633    7,624,436    2,062,834    128,592,084  
  Stephen J. Luczo 1,458,204,658    11,121,161    2,297,084    128,592,084  
  Jami Miscik 1,463,537,311    5,920,803    2,164,789    128,592,084  
  Masato Miyachi 1,465,534,096    4,096,463    1,992,344    128,592,084  
  Dennis M. Nally 1,446,635,248    22,790,149    2,197,506    128,592,084  
  Mary L. Schapiro 1,444,773,233    23,467,834    3,381,836    128,592,084  
  Perry M. Traquina 1,464,628,493   4,817,655   2,176,755    128,592,084  
  Rayford Wilkins, Jr. 1,410,168,451   58,496,095   2,958,357    128,592,084  
                   
2. Ratification of Appointment of Independent Auditor 1,549,401,606   49,078,085   1,735,296   *  
3. Approval of Compensation of Executives (Non-Binding Advisory Vote) 1,398,415,858   68,906,336   4,300,709   128,592,084  
                   
4. Shareholder Proposal Regarding New Fossil Fuel Development 123,321,013   1,331,405,907   16,895,983   128,592,084  

_____________

* 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 27, 2022   By: /s/ Martin M. Cohen
        Name: Martin M. Cohen
        Title: Corporate Secretary