Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal
Year.
On April 15, 2021, Morgan Stanley (the "Registrant") filed a Certificate of
Elimination with the Secretary of State of the State of Delaware to eliminate
its Fixed-to-Floating Rate Non-Cumulative Preferred Stock, Series J (the "Series
J Preferred Stock"), which was redeemed by the Registrant on April 15, 2021. The
Certificate of Elimination (a) eliminated the previous designation of 60,000
shares of Series J Preferred Stock, none of which were outstanding at the time
of filing, (b) upon such elimination, caused such shares of Series J Preferred
Stock to resume their status as undesignated shares of preferred stock of the
Registrant, and (c) eliminated from the Amended and Restated Certificate of
Incorporation of the Registrant all references to the Series J Preferred Stock.
A copy of the Certificate of Elimination is filed as Exhibit 3.1 to this Current
Report on Form 8-K and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
The following exhibits are filed as part of this Report on Form 8-K:
Exhibit
Number Description
3.1 Certificate of Elimination of the Fixed-to-Floating Rate
Non-Cumulative Preferred Stock, Series J, of Morgan Stanley.
101 Interactive Data Files pursuant to Rule 406 of Regulation S-T formatted
in Inline eXtensible Business Reporting Language ("Inline XBRL").
104 Cover Page Interactive Data File (formatted in Inline XBRL and
contained in Exhibit 101).
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