401k Plan data: MORGAN STANLEY 401(K) SAVINGS PLAN plan

MORGAN STANLEY 401(K) SAVINGS PLAN 401k Plan overview

Plan Name	MORGAN STANLEY 401(K) SAVINGS PLAN
Plan identification number	004

MORGAN STANLEY 401(K) SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Age/Service Weighted or new comparability or similar plan - Age/Service Weighted Plan: Allocations are based on age, service, or age and service. New comparability or similar plan: Allocations are based on participant classifications and a classification(s) consists entirely or predominantly of highly compensated employees; or the plan provides an additional allocation rate on compensation above a specified threshold, and the theshold or additional rate exceeds the maximum threshold or rate allowed under the permitted disparity rules of section 401(l).
Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
ESOP other than a leveraged ESOP - A completed Schedule E must be attached to a Form 5500 filed for an Employee Stock Ownership Plan (ESOP).
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Plan sponsor(s) received services of leased employees, as defined in Code section 414(n), during the plan year.
Plan sponsor(s) is (are) a member(s) of a controlled group (Code sections 414(b), (c), or (m)).
Plan requiring that all or part of employer contributions be invested and held, at least for a limited period, in employer securities.
U.S.-based plan that covers residents of Puerto Rico and is qualified under both Code section 401 and section 1165 of the Puerto Rico Code.

401k Sponsoring company profile

MORGAN STANLEY DOMESTIC HOLDINGS, INC. has sponsored the creation of one or more 401k plans.

Company Name: MORGAN STANLEY DOMESTIC HOLDINGS, INC.

Employer identification number (EIN): 208764829

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MORGAN STANLEY 401(K) SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
004 2012-01-01 JENNIFER CACCIATORE BRUCE MONTE, JR. 2013-10-13
004 2011-01-01 JENNIFER CACCIATORE BRUCE MONTE, JR. 2012-10-12

Plan id#	Filing Submission Date	Name of Administrator	Date Administrator Signed	Name of Company Sponsor	Date Sponsor Signed
004	2012-01-01	JENNIFER CACCIATORE		BRUCE MONTE, JR.	2013-10-13
004	2011-01-01	JENNIFER CACCIATORE		BRUCE MONTE, JR.	2012-10-12

Plan Statistics for MORGAN STANLEY 401(K) SAVINGS PLAN

401k plan membership statisitcs for MORGAN STANLEY 401(K) SAVINGS PLAN

Measure Date Value
2012: MORGAN STANLEY 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year 2012-01-01 22,802
Total number of active participants reported on line 7a of the Form 5500 2012-01-01 0
Number of retired or separated participants receiving benefits 2012-01-01 0
Number of other retired or separated participants entitled to future benefits 2012-01-01 0
Total of all active and inactive participants 2012-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2012-01-01 0
Total participants 2012-01-01 0
Number of participants with account balances 2012-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2012-01-01 517
2011: MORGAN STANLEY 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year 2011-01-01 21,209
Total number of active participants reported on line 7a of the Form 5500 2011-01-01 19,298
Number of retired or separated participants receiving benefits 2011-01-01 0
Number of other retired or separated participants entitled to future benefits 2011-01-01 3,453
Total of all active and inactive participants 2011-01-01 22,751
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2011-01-01 51
Total participants 2011-01-01 22,802
Number of participants with account balances 2011-01-01 21,443
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2011-01-01 439

Measure	Date	Value
2012: MORGAN STANLEY 401(K) SAVINGS PLAN 2012 401k membership
Total participants, beginning-of-year	2012-01-01	22,802
Total number of active participants reported on line 7a of the Form 5500	2012-01-01	0
Number of retired or separated participants receiving benefits	2012-01-01	0
Number of other retired or separated participants entitled to future benefits	2012-01-01	0
Total of all active and inactive participants	2012-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2012-01-01	0
Total participants	2012-01-01	0
Number of participants with account balances	2012-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2012-01-01	517
2011: MORGAN STANLEY 401(K) SAVINGS PLAN 2011 401k membership
Total participants, beginning-of-year	2011-01-01	21,209
Total number of active participants reported on line 7a of the Form 5500	2011-01-01	19,298
Number of retired or separated participants receiving benefits	2011-01-01	0
Number of other retired or separated participants entitled to future benefits	2011-01-01	3,453
Total of all active and inactive participants	2011-01-01	22,751
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2011-01-01	51
Total participants	2011-01-01	22,802
Number of participants with account balances	2011-01-01	21,443
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2011-01-01	439

Financial Data on MORGAN STANLEY 401(K) SAVINGS PLAN

Measure	Date	Value
2012 : MORGAN STANLEY 401(K) SAVINGS PLAN 2012 401k financial data
Total unrealized appreciation/depreciation of assets	2012-12-31	$0
Total transfer of assets from this plan	2012-12-31	$987,870,797
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2012-12-31	$0
Total income from all sources (including contributions)	2012-12-31	$382,032,315
Total loss/gain on sale of assets	2012-12-31	$0
Total of all expenses incurred	2012-12-31	$79,606,609
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2012-12-31	$79,606,609
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2012-12-31	$279,597,788
Value of total assets at end of year	2012-12-31	$0
Value of total assets at beginning of year	2012-12-31	$685,445,091
Total of administrative expenses incurred including professional, contract, advisory and management fees	2012-12-31	$0
Total interest from all sources	2012-12-31	$748,748
Total dividends received (eg from common stock, registered investment company shares)	2012-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2012-12-31	No
Was this plan covered by a fidelity bond	2012-12-31	Yes
Value of fidelity bond cover	2012-12-31	$125,000,000
If this is an individual account plan, was there a blackout period	2012-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2012-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2012-12-31	No
Contributions received from participants	2012-12-31	$171,513,401
Participant contributions at end of year	2012-12-31	$0
Participant contributions at beginning of year	2012-12-31	$16,680,988
Income. Received or receivable in cash from other sources (including rollovers)	2012-12-31	$18,700,645
Other income not declared elsewhere	2012-12-31	$4,162,140
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Value of net income/loss	2012-12-31	$302,425,706
Value of net assets at end of year (total assets less liabilities)	2012-12-31	$0
Value of net assets at beginning of year (total assets less liabilities)	2012-12-31	$685,445,091
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2012-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2012-12-31	No
Were any leases to which the plan was party in default or uncollectible	2012-12-31	No
Interest on participant loans	2012-12-31	$748,748
Value of interest in master investment trust accounts at end of year	2012-12-31	$0
Value of interest in master investment trust accounts at beginning of year	2012-12-31	$578,235,164
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2012-12-31	No
Was there a failure to transmit to the plan any participant contributions	2012-12-31	No
Has the plan failed to provide any benefit when due under the plan	2012-12-31	No
Contributions received in cash from employer	2012-12-31	$89,383,742
Employer contributions (assets) at end of year	2012-12-31	$0
Employer contributions (assets) at beginning of year	2012-12-31	$90,528,939
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2012-12-31	$79,606,609
Was the provided the required notice or one of the exceptions to providing the black out period notice applied under 29 CFR 2520.101-3	2012-12-31	No
Did the plan have assets held for investment	2012-12-31	No
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2012-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2012-12-31	Yes
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2012-12-31	No
Opinion of an independent qualified public accountant for this plan	2012-12-31	Unqualified
Accountancy firm name	2012-12-31	DELOITTE & TOUCHE LLP
Accountancy firm EIN	2012-12-31	133891517
2011 : MORGAN STANLEY 401(K) SAVINGS PLAN 2011 401k financial data
Total unrealized appreciation/depreciation of assets	2011-12-31	$0
Total transfer of assets to this plan	2011-12-31	$23,366,702
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2011-12-31	$0
Total income from all sources (including contributions)	2011-12-31	$213,496,760
Total loss/gain on sale of assets	2011-12-31	$0
Total of all expenses incurred	2011-12-31	$47,055,438
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2011-12-31	$46,448,599
Expenses. Certain deemed distributions of participant loans	2011-12-31	$606,839
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2011-12-31	$275,736,214
Value of total assets at end of year	2011-12-31	$685,445,091
Value of total assets at beginning of year	2011-12-31	$495,637,067
Total of administrative expenses incurred including professional, contract, advisory and management fees	2011-12-31	$0
Total interest from all sources	2011-12-31	$538,990
Total dividends received (eg from common stock, registered investment company shares)	2011-12-31	$0
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2011-12-31	No
Was this plan covered by a fidelity bond	2011-12-31	Yes
Value of fidelity bond cover	2011-12-31	$125,000,000
If this is an individual account plan, was there a blackout period	2011-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2011-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2011-12-31	No
Contributions received from participants	2011-12-31	$168,228,638
Participant contributions at end of year	2011-12-31	$16,680,988
Participant contributions at beginning of year	2011-12-31	$8,900,216
Income. Received or receivable in cash from other sources (including rollovers)	2011-12-31	$16,978,637
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Value of net income/loss	2011-12-31	$166,441,322
Value of net assets at end of year (total assets less liabilities)	2011-12-31	$685,445,091
Value of net assets at beginning of year (total assets less liabilities)	2011-12-31	$495,637,067
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2011-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2011-12-31	No
Were any leases to which the plan was party in default or uncollectible	2011-12-31	No
Interest on participant loans	2011-12-31	$538,990
Value of interest in master investment trust accounts at end of year	2011-12-31	$578,235,164
Value of interest in master investment trust accounts at beginning of year	2011-12-31	$403,585,842
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2011-12-31	No
Was there a failure to transmit to the plan any participant contributions	2011-12-31	No
Has the plan failed to provide any benefit when due under the plan	2011-12-31	No
Contributions received in cash from employer	2011-12-31	$90,528,939
Employer contributions (assets) at end of year	2011-12-31	$90,528,939
Employer contributions (assets) at beginning of year	2011-12-31	$83,151,009
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2011-12-31	$46,448,599
Did the plan have assets held for investment	2011-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2011-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2011-12-31	No
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2011-12-31	No
Opinion of an independent qualified public accountant for this plan	2011-12-31	Unqualified
Accountancy firm name	2011-12-31	DELOITTE & TOUCHE
Accountancy firm EIN	2011-12-31	133891517

Form 5500 Responses for MORGAN STANLEY 401(K) SAVINGS PLAN

2012: MORGAN STANLEY 401(K) SAVINGS PLAN 2012 form 5500 responses
2012-01-01	Type of plan entity	Single employer plan
2012-01-01	Submission has been amended	No
2012-01-01	This submission is the final filing	Yes
2012-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2012-01-01	Plan is a collectively bargained plan	No
2012-01-01	Plan funding arrangement – Trust	Yes
2012-01-01	Plan benefit arrangement - Trust	Yes
2011: MORGAN STANLEY 401(K) SAVINGS PLAN 2011 form 5500 responses
2011-01-01	Type of plan entity	Single employer plan
2011-01-01	Submission has been amended	No
2011-01-01	This submission is the final filing	No
2011-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2011-01-01	Plan is a collectively bargained plan	No
2011-01-01	Plan funding arrangement – Trust	Yes
2011-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	MORGAN STANLEY DOMESTIC HOLDINGS, INC.
Employer identification number (EIN):	208764829
NAIC Classification:	523900