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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 22, 2023 (May 19, 2023)

 

 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
Depositary Shares, each representing 1/1,000th interest in a share of 6.500% Non-Cumulative Preferred Stock, Series P, $0.01 par value MS/PP 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
Global Medium-Term Notes, Series A, Floating Rate Notes Due 2029 of Morgan Stanley Finance LLC (and Registrant’s guarantee with respect thereto) MS/29 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 2023 Annual Meeting of Shareholders (the “Annual Meeting”) of Morgan Stanley (the “Company”) held on Friday, May 19, 2023, 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 2023 fiscal year, (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 6, 2023 for the Annual Meeting (the “2023 Proxy”) (a non-binding advisory vote) and (iv) vote on the frequency of holding a non-binding advisory vote on the compensation of executives as disclosed in the 2023 Proxy (a non-binding advisory vote). The Shareholders also voted on shareholder proposals requesting (i) adoption of improved shareholder right to call a special shareholder meeting and (ii) adoption of a policy to cease financing new fossil fuel development (collectively, the “Shareholder Proposals”).

 

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 2023 fiscal year. The proposal to approve the compensation of the Company’s named executive officers as disclosed in the 2023 Proxy, through an advisory vote, was also approved by the Shareholders. The advisory vote on the frequency of future advisory votes on executive compensation was held, and the option of “1 Year” received a majority of the votes cast. The Shareholder Proposals were 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 1,377,821,373    7,759,301    1,056,362    127,448,209  
  Thomas H. Glocer 1,346,009,139    39,498,539    1,129,358    127,448,209  
  James P. Gorman 1,346,002,723    38,475,888    2,158,425    127,448,209  
  Robert H. Herz 1,346,301,375    38,314,807    2,020,854    127,448,209  
  Erika H. James 1,352,907,838    32,623,509    1,105,689    127,448,209  
  Hironori Kamezawa 1,378,587,730    6,842,665    1,206,641    127,448,209  
  Shelley B. Leibowitz 1,379,260,097    6,382,070    994,869    127,448,209  
  Stephen J. Luczo 1,371,748,293    13,675,166    1,213,577    127,448,209  
  Jami Miscik 1,380,563,106    4,932,437    1,141,493    127,448,209  
  Masato Miyachi 1,378,669,150    6,787,061    1,180,825    127,448,209  
  Dennis M. Nally 1,358,853,249    26,673,104    1,110,683    127,448,209  
  Mary L. Schapiro 1,353,020,340    32,661,788    954,908    127,448,209  
  Perry M. Traquina 1,380,963,948   4,486,243   1,186,845    127,448,209  
  Rayford Wilkins, Jr. 1,316,533,832   68,875,135   1,228,069    127,448,209  
                   

2.

Ratification of Appointment of Independent Auditor

 1,476,222,399   36,792,918   1,069,928  

*

  
                   

3.

Approval of Compensation of Executives (Non-Binding Advisory Vote)

 1,335,192,763   48,963,088 2,481,185 127,448,209  
                   

     1 YEAR   2 YEARS    3 YEARS    ABSTAIN    Broker Non-vote
4. Frequency of Advisory Vote to Approve Compensation of Executives (Non-Binding Advisory Vote)  1,367,992,449   1,635,478 15,516,479 1,492,630   127,448,209
                     

5.

 

Shareholder Proposal Requesting Adoption of Improved Shareholder Right to Call a Special Shareholder Meeting

349,756,082   1,032,552,971 4,327,983 127,448,209  
                   

6.

 

Shareholder Proposal Requesting Adoption of a Policy to Cease Financing New Fossil Fuel Development

65,957,936   1,300,932,969 19,746,131 127,448,209  
                   

 

* Not applicable.

 

A majority of the votes cast by Shareholders voted, on an advisory basis, to hold an advisory vote on executive compensation every year. In accordance with the Board’s recommendation and the voting results on this advisory proposal, the Board has decided that it will hold an advisory vote on executive compensation every year until the next advisory vote on the frequency of advisory votes on executive compensation, which will occur no later than the Company’s Annual Meeting in 2029.

 

 

 

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, 2023   By: /s/ Martin M. Cohen
        Name: Martin M. Cohen
        Title: Corporate Secretary

 

 

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