Morgan Stanley 2007 Annual Report Download

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-K
Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
For the fiscal year ended November 30, 2007
Commission File Number 1-11758
(Exact name of Registrant as specified in its charter)
Delaware
(State or other jurisdiction of
incorporation or organization)
1585 Broadway
New York, NY 10036
(Address of principal executive
offices, including zip code)
36-3145972
(I.R.S. Employer Identification No.)
[phone]
(Registrant’s telephone number,
including area code)
Title of each class
Name of exchange on
which registered
Securities registered pursuant to Section 12(b) of the Act:
Common Stock, $0.01 par value .................................................................................. NewYork 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 ..................................................................................................... NewYork Stock Exchange
6¼% Capital Securities of Morgan Stanley Capital Trust III (and Registrant’s guaranty with respect thereto) ...................... NewYork Stock Exchange
6¼% Capital Securities of Morgan Stanley Capital Trust IV (and Registrant’s guaranty with respect thereto) ...................... NewYork Stock Exchange
5¾% Capital Securities of Morgan Stanley Capital Trust V (and Registrant’s guaranty with respect thereto) ...................... NewYork Stock Exchange
6.60% Capital Securities of Morgan Stanley Capital Trust VI (and Registrant’s guaranty with respect thereto) ..................... NewYork Stock Exchange
6.60% Capital Securities of Morgan Stanley Capital Trust VII (and Registrant’s guaranty with respect thereto) .................... NewYork Stock Exchange
6.45% Capital Securities of Morgan Stanley Capital Trust VIII (and Registrant’s guaranty with respect thereto) ................... NewYork Stock Exchange
SPARQS®due March 20, 2008; SPARQS due April 20, 2008; SPARQS due May 20, 2008; SPARQS due June 20, 2008 (3 issuances);
SPARQS due July 20, 2008; SPARQS due August 20, 2008; SPARQS due September 20, 2008; SPARQS due October 20, 2008;
SPARQS due January 20, 2009 (2 issuances); SPARQS due February 20, 2009 ............................................. American Stock Exchange
Exchangeable Notes due December 30, 2008; Exchangeable Notes due December 30, 2010; Exchangeable Notes due June 30, 2011 . . . American Stock Exchange
Callable Index-Linked Notes due December 30, 2008 .................................................................. American Stock Exchange
BRIDGESSM due August 30, 2008; BRIDGES due December 30, 2008; BRIDGES due February 28, 2009; BRIDGES due March 30,
2009; BRIDGES due June 30, 2009; BRIDGES due July 30, 2009; BRIDGES due August 30, 2009; BRIDGES due October 30, 2009;
BRIDGES due December 30, 2009; BRIDGES due June 15, 2010 ........................................................ American Stock Exchange
Capital Protected Notes due June 30, 2008; Capital Protected Notes due September 30, 2008; Capital Protected Notes due
December 30, 2008; Capital Protected Notes due December 30, 2009; Capital Protected Notes due April 20, 2010; Capital Protected
Notes due July 20, 2010 (2 issuances); Capital Protected Notes due August 30, 2010; Capital Protected Notes due October 30, 2010;
Capital Protected Notes due January 30, 2011; Capital Protected Notes due February 20, 2011; Capital Protected Notes due March 30,
2011 (2 issuances); Capital Protected Notes due June 30, 2011; Capital Protected Notes due August 20, 2011; Capital Protected Notes
due October 30, 2011 (2 issuances); Capital Protected Notes due December 30, 2011; Capital Protected Notes due September 30, 2012 .... American Stock Exchange
Capital Protected Notes due September 1, 2010 ...................................................................... TheNASDAQ Stock Market LLC
HITSSM due February 20, 2008; HITS due March 20, 2008; HITS due April 20, 2008 ........................................ American Stock Exchange
MPSSM due December 30, 2008; MPS due December 30, 2009; MPS due February 1, 2010; MPS due June 15, 2010; MPS due
December 30, 2010 (2 issuances); MPS due March 30, 2012 ............................................................ American Stock Exchange
MPS due March 30, 2009 ........................................................................................ TheNASDAQ Stock Market LLC
Stock Participation Notes due September 15, 2010; Stock Participation Notes due December 30, 2010 ........................... American Stock Exchange
Bear Market PLUS due February 20, 2008; Bear Market PLUS due April 20, 2008; Bear Market PLUS due July 20, 2008 ........... American Stock Exchange
Outperformance PLUS due December 20, 2008 ...................................................................... American Stock Exchange
PLUSSM due March 20, 2008 (3 issuances); PLUS due April 30, 2008 (2 issuances); PLUS due May 20, 2008; PLUS due October 20,
2008; PLUS due December 20, 2008 (4 issuances); PLUS due January 20, 2009 (3 issuances); PLUS due February 20, 2009; PLUS
due June 30, 2009 .............................................................................................. American Stock Exchange
PLUS due June 20, 2008; PLUS due August 20, 2008; PLUS due November 20, 2008; PLUS due December 20, 2008; PLUS due
January 20, 2009; PLUS due September 30, 2009 ..................................................................... TheNASDAQ Stock Market LLC
PROPELSSM due December 30, 2011 (3 issuances) ................................................................... American Stock Exchange
Protected Absolute Return Barrier Notes due December 20, 2008; Protected Absolute Return Barrier Notes due July 20, 2008; Protected
Absolute Return Barrier Notes due September 20, 2008; Protected Absolute Return Barrier Notes due October 20, 2008; Protected
Absolute Return Barrier Notes due June 20, 2009 (2 issuances); Protected Absolute Return Barrier Notes due July 20, 2009 ............ American Stock Exchange
Strategic Total Return Securities due December 17, 2009; Strategic Total Return Securities due March 30, 2010; Strategic Total Return
Securities due July 30, 2011(2 issuances); Strategic Total Return Securities due January 15, 2012 .............................. American Stock Exchange
Strategic Total Return Securities due October 30, 2011 ................................................................ TheNASDAQ Stock Market LLC
BOXESSM due October 30, 2031; BOXES due January 30, 2032 ......................................................... American Stock Exchange
Philadelphia Stock Exchange
Securities registered pursuant to Section 12(g) of the Act:
Targeted Income Strategic Total Return Securities due October 30, 2011 .................................................. TheNASDAQ Stock Market LLC
MPS SM due March 30, 2009 ...................................................................................... TheNASDAQ Stock Market LLC
Indicate by check mark if Registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. YES ÈNO ‘
Indicate by check mark if Registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. YES ‘NO È
Indicate by check mark whether Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12
months (or for such shorter period that Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. YES ÈNO ‘
Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S-K is not contained herein, and will not be contained, to the best of Registrant’s
knowledge, in definitive proxy or information statements incorporated by reference in Part III of this Form 10-K or any amendment to this Form 10-K. È
Indicate by check mark whether Registrant is a large accelerated filer, an accelerated filer, or a non-accelerated filer. See definition of “accelerated filer” and “large
accelerated filer” in Exchange Act Rule 12b-2. Large accelerated filer ÈAccelerated filer ‘Non-accelerated filer ‘
Indicate by check mark whether Registrant is a shell company (as defined in Exchange Act Rule 12b-2). YES ‘NO È
As of May 31, 2007, the aggregate market value of the common stock of Registrant held by non-affiliates of Registrant was approximately $88,843,773,992.03. This
calculation does not reflect a determination that persons are affiliates for any other purposes.
As of January 11, 2008, there were 1,104,587,663 shares of Registrant’s common stock, $0.01 par value, outstanding.
Documents Incorporated By Reference: Portions of Registrant’s definitive proxy statement for its annual stockholders’ meeting to be held on April 8, 2008 are incorporated
by reference in Part III of this Form 10-K.