Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal
Year.
On January 18, 2022, Morgan Stanley (the "Registrant") filed a Certificate of
Elimination (the "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 H (the "Series H Preferred Stock"), which was redeemed
by the Registrant on January 18, 2022. The Certificate of Elimination (a)
eliminated the previous designation of 52,000 shares of Series H Preferred
Stock, none of which were outstanding at the time of filing, (b) upon such
elimination, caused such shares of Series H 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 H 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 H, 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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