摩根士丹利 Morgan Stanley (MS) 2019年10-K年度报告「NYSE」.pdf

1、 UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington,D.C.20549FORM 10-K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934For the year ended December31,2019 Commission File Number 1-11758(Exact name of Registrant as specified in its charter)Delaware1585 Broadw

2、ay36-3145972(212)761-4000(State or other jurisdiction ofincorporation or organization)New York,NY 10036(I.R.S.Employer Identification No.)(Registrants telephone number,including area code)(Address of principal executiveoffices,including zip code)Securities registered pursuant to Section12(b)of the A

3、ct:Title of each classTradingSymbol(s)Name of exchange on which registeredCommon Stock,$0.01 par valueMSNew York Stock ExchangeDepositary Shares,each representing 1/1,000th interest in a share of Floating RateMS/PANew York Stock ExchangeNon-Cumulative Preferred Stock,Series A,$0.01 par valueDeposita

4、ry Shares,each representing 1/1,000th interest in a share of Fixed-to-Floating RateMS/PENew York Stock ExchangeNon-Cumulative Preferred Stock,Series E,$0.01 par valueDepositary Shares,each representing 1/1,000th interest in a share of Fixed-to-Floating RateMS/PFNew York Stock ExchangeNon-Cumulative

5、Preferred Stock,Series F,$0.01 par valueDepositary Shares,each representing 1/1,000th interest in a share of Fixed-to-Floating RateMS/PINew York Stock ExchangeNon-Cumulative Preferred Stock,Series I,$0.01 par valueDepositary Shares,each representing 1/1,000th interest in a share of Fixed-to-Floating

6、 RateMS/PKNew York Stock ExchangeNon-Cumulative Preferred Stock,Series K,$0.01 par valueDepositary Shares,each representing 1/1,000th interest in a share of 4.875%MS/PLNew York Stock ExchangeNon-Cumulative Preferred Stock,Series L,$0.01 par value Global Medium-Term Notes,Series A,Fixed Rate Step-Up