摩根士丹利 Morgan Stanley (MS) 2016年10-K年度报告「NYSE」.pdf

1、UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington,D.C.20549FORM 10-KAnnual Report Pursuant to Section 13 or 15(d)of the Securities Exchange Act of 1934For the year ended December 31,2016Commission File Number 1-11758(Exact name of Registrant as specified in its charter)Delaware(State or oth

2、er jurisdiction ofincorporation or organization)1585 BroadwayNew York,NY 10036(Address of principal executiveoffices,including zip code)36-3145972(I.R.S.Employer Identification No.)(212)761-4000(Registrants telephone number,including area code)Securities registered pursuant to Section 12(b)of the Ac

3、t:Title of each className of exchange onwhich registeredCommon Stock,$0.01 par valueNew York Stock ExchangeDepositary Shares,each representing 1/1,000th interest in a share of Floating Rate Non-Cumulative PreferredStock,Series A,$0.01 par valueNew York Stock ExchangeDepositary Shares,each representi

4、ng 1/1,000th interest in a share of Fixed-to-Floating Rate Non-CumulativePreferred Stock,Series E,$0.01 par valueNew York Stock ExchangeDepositary Shares,each representing 1/1,000th interest in a share of Fixed-to-Floating Rate Non-CumulativePreferred Stock,Series F,$0.01 par valueNew York Stock Exc

5、hangeDepositary Shares,each representing 1/1,000th interest in a share of 6.625%Non-Cumulative Preferred Stock,Series G,$0.01 par valueNew York Stock ExchangeDepositary Shares,each representing 1/1,000th interest in a share of Fixed-to-Floating Rate Non-CumulativePreferred Stock,Series I,$0.01 par v

6、alueNew York Stock ExchangeDepositary Shares,each representing 1/1,000th interest in a share of Fixed-to-Floating Rate Non-CumulativePreferred Stock,Series K,$0.01 par valueNew York Stock ExchangeGlobal Medium-Term Notes,Series A,Fixed Rate Step-Up Senior Notes Due 2026 of Morgan Stanley Finance LLC