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The following is an excerpt from a DEF 14A SEC Filing, filed by MORGAN STANLEY on 3/28/2013.
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MORGAN STANLEY - DEF 14A - 20130328 - PROXY_CARD

Sign exactly as imprinted (do not print). If shares are held jointly, EACH holder should sign. Executors, administrators, trustees, guardians and others signing in a representative capacity should indicate the capacity in which they sign. An authorized officer signing on behalf of a corporation should indicate the name of the corporation and the officer’s title.

Dated                                , 2013    Signature                                      Co-owner (if any) Signature                                           

 

 

é    é   DETACH HERE IF YOU ARE SUBMITTING BY MAIL    é    é

 

   

 

IMPORTANT

    YOUR PROXY MUST BE RECEIVED BY THE CLOSE OF THE POLLS
    ON MAY 14, 2013
   

1.

  INTERNET. Go to www.investorvote.com/mstl. Follow the instructions.

2.

  TELEPHONE. Using a touch-tone phone, call toll free 1-800-652-VOTE (8683) (in the U.S., U.S. territories and
    Canada) or 781-575-2300 (outside the U. S.). Follow the instructions.

3.

 

MAIL. Date, sign and return the card in the enclosed envelope.

 

Morgan Stanley

MS 001

 


Table of Contents

MORGAN STANLEY

THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF DIRECTORS

FOR THE 2013 ANNUAL MEETING OF SHAREHOLDERS, MAY 14, 2013

 

      

The undersigned hereby appoints Eric F. Grossman, James A. Rosenthal and Martin M. Cohen, and each of them, attorneys and proxies, with full power of substitution, to represent and to vote on behalf of the undersigned all of the shares of common stock of Morgan Stanley that the undersigned is entitled in any capacity to vote if personally present at the 2013 Annual Meeting of Shareholders to be held on May 14, 2013, and at any adjournments or postponements thereof, in accordance with the instructions set forth on the reverse side of this proxy card and with the same effect as though the undersigned were present in person and voting such shares. Each of the proxies is authorized in his discretion to vote for the election of a person to the Board of Directors if any nominee named herein becomes unable to serve or for good cause will not serve, upon all matters incident to the conduct of the meeting, and upon such other business as may properly come before the meeting.

 

  
      

PLEASE SUBMIT YOUR PROXY BY PHONE OR BY INTERNET,

OR RETURN THIS PROXY CARD AFTER SIGNING AND DATING IT.

  
       THIS PROXY WILL BE VOTED AS DIRECTED. IF THIS PROXY IS SIGNED, BUT NO   
      

DIRECTION IS MADE, IT WILL BE VOTED IN ACCORDANCE WITH THE

RECOMMENDATION OF MORGAN STANLEY’S BOARD OF DIRECTORS.

  
                    

 

  

Notice of 2013 Morgan Stanley Annual Meeting of Shareholders

2000 Westchester Avenue, Purchase, New York 10577

May 14, 2013, 9 a.m., local time

  

At the meeting, we plan to:

 

   

elect members of the Board of Directors;

 

   

ratify the appointment of Deloitte & Touche LLP as independent auditor;

 

   

approve the compensation of executives as disclosed in the proxy statement (non-binding advisory resolution);

 

   

approve the amendment of the 2007 Equity Incentive Compensation Plan to increase shares available for grant;

 

   

approve the amendment of the 2007 Equity Incentive Compensation Plan to provide for qualifying performance-based long-term incentive awards under Section 162(m);

 

   

approve the amendment of the Section 162(m) performance formula governing annual incentive compensation for certain officers; and

 

   

transact such other business as may properly come before the meeting.

Please help the Company reduce costs – submit your proxy by internet or telephone. If you share an address with other shareholders, you can avoid receiving multiple copies of annual meeting materials and help the Company reduce costs by consenting to householding. The Company can further reduce costs if you agree to receive future versions of our Proxy Statement and Annual Report on Form 10-K electronically over the internet. You can view or print a copy of our annual meeting materials at www.morganstanley.com/2013ams. You can request a copy of these materials by contacting our proxy solicitor, D.F. King & Co., Inc. at 800-290-6429 (in the U.S.) or 212-269-5550 (outside the U.S.). For more information regarding electronic delivery and householding, contact our transfer agent, Computershare Shareowner Services LLC, at 800-622-2393 (in the U.S.), (201) 680-6578 (outside the U.S.) or www.computershare.com/investor.

MS 001


Table of Contents

Morgan Stanley’s Board recommends a vote “ FOR ” the nominees listed below:

 

1. Election of Directors   FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
01 Erskine B. Bowles      ¨          ¨                ¨        08 Donald T. Nicolaisen      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
02 Howard J. Davies      ¨          ¨                ¨        09 Hutham S. Olayan      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
03 Thomas H. Glocer      ¨          ¨                ¨        10 James W. Owens      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
04 James P. Gorman      ¨          ¨                ¨        11 O. Griffith Sexton      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
05 Robert H. Herz      ¨          ¨                ¨        12 Ryosuke Tamakoshi      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
06 C. Robert Kidder      ¨          ¨                ¨        13 Masaaki Tanaka      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
07 Klaus Kleinfeld      ¨          ¨                ¨        14 Laura D. Tyson      ¨          ¨            ¨      
             

 


MARK VOTES  

AS SHOWN       

USING BLACK  

OR BLUE INK    

  x

 

Morgan Stanley’s Board recommends a vote “ FOR ” Proposals 2 through 6 below:

 

2.  

To ratify the appointment of Deloitte & Touche LLP as independent auditor

 

 

FOR AGAINST ABSTAIN

   ¨          ¨              ¨       

3.

 

To approve the compensation of executives as disclosed in the proxy statement (non-binding advisory resolution)

 

 

FOR AGAINST ABSTAIN

¨          ¨              ¨       

4.  

To amend the 2007 Equity Incentive Compensation Plan to increase shares available for grant

 

 

FOR AGAINST ABSTAIN

¨          ¨              ¨       

5.   To amend the 2007 Equity Incentive Compensation Plan to provide for qualifying performance-based long-term incentive awards under Section 162(m)  

FOR AGAINST ABSTAIN

¨          ¨              ¨       

   
6.   To amend the Section 162(m) performance formula governing annual incentive compensation for certain officers  

FOR AGAINST ABSTAIN

¨         ¨              ¨        

 

 

   
       
 

 


Sign exactly as imprinted (do not print). Executors, administrators, trustees, guardians and others signing in a representative capacity should indicate the capacity in which they sign.

Signature                                                                                                           Dated                                   , 2013

 

 

é    é   DETACH HERE IF YOU ARE SUBMITTING BY MAIL    é    é

Please help the Company reduce costs—submit your voting instructions by internet or telephone.

 

   

 

IMPORTANT

    YOUR INSTRUCTIONS MUST BE RECEIVED BY
    11:59 P.M. (EDT) ON MAY 9, 2013
   

1.

  INTERNET. Go to www.investorvote.com/mstl2. Follow the instructions.

2.

  TELEPHONE. Using a touch-tone phone, call toll free 1-800-652-VOTE (8683) (in the U.S., U.S. territories and Canada)
    or 781-575-2300 (outside the U.S.). Follow the instructions.

3.

 

MAIL. Date, sign and return the voting instruction form in the enclosed envelope.

 

Morgan Stanley

MS 002

 


Table of Contents

MORGAN STANLEY 2013 VOTING INSTRUCTION FORM FOR BENEFIT PLAN PARTICIPANTS

 

      

I hereby direct the following to vote, in person or by proxy, all of the shares of Morgan Stanley common stock in my account(s) at the 2013 Annual Meeting of Shareholders to be held on May 14, 2013, and at any and all adjournments or postponements thereof, as indicated on the reverse side of this voting instruction form, and, in its (or the proxies’) discretion, for the election of a person to the Board of Directors if any nominee named herein becomes unable to serve or for good cause will not serve, upon all matters incident to the conduct of the meeting, and upon such other business as may properly come before the meeting.

 

•   The Northern Trust Company (Northern Trust), as trustee under the Morgan Stanley 401(k) Plan. I understand that (A) if I sign, date, and return this form, Northern Trust will vote or grant proxies in accordance with the Board of Directors’ recommendation as to each proposal for which I do not give voting instructions, (B) Northern Trust will vote or grant proxies for all undirected (other than pursuant to clause (A)) and/or forfeited shares, as applicable, in the same respective proportion as the shares of all participants who have timely delivered properly executed voting instructions, unless to do so would be inconsistent with Northern Trust’s duties, and (C) Northern Trust will hold my voting instructions in confidence to the extent required by applicable law or regulations or the governing instrument.

 

•   State Street Bank and Trust Company, as trustee under a trust agreement (Trust), in connection with the 1995 and 2007 Equity Incentive Compensation Plans, the 2009 Replacement Equity Incentive Compensation Plan for Morgan Stanley Smith Barney Employees, the Employees’ Equity Accumulation Plan, the Tax Deferred Equity Participation Plan and the Financial Advisor and Investment Representative Compensation Plan. I understand that, subject to the Trust’s terms, (A) if I sign, date and return this form, State Street will vote in accordance with the Board of Directors’ recommendation as to each proposal for which I do not give voting instructions, (B) State Street will vote with respect to all shares held in the Trust in connection with these plans for which no proper instructions are received (other than pursuant to clause (A)) in the same proportion as the shares held in connection with these plans for which it has received proper instructions, and (C) State Street will vote in its discretion, after due consideration, on all other matters that may properly come before the meeting.

 

•   The Bank of New York Mellon (Mellon), as custodian for stock held on behalf of certain current and former Morgan Stanley employees and directors. I understand that, (A) if I sign, date and return this form, Mellon will vote or grant proxies in accordance with the Board of Directors’ recommendation as to each proposal for which I do not give voting instructions, (B) if I do not sign, date and return this form, Mellon will not vote or grant proxies with respect to my shares, and (C) Mellon will hold my voting instructions in confidence to the extent required by law.

  
      

•   State Street Bank and Trust Company, as trustee under the Trust, in connection with the Directors’ Equity Capital Accumulation Plan. I understand that, subject to the Trust’s terms, (A) if I do not sign, date and return this form, State Street will not vote or grant proxies with respect to my shares, and (B) if I sign, date and return this form, State Street will vote (i) in accordance with the Board of Directors’ recommendation as to each proposal for which I do not give voting instructions and (ii) in its discretion, after due consideration, on all other matters that may properly come before the meeting.

 

  
         
      

•   Equiniti Share Plan Trustees Limited, as trustee under a trust deed (UK SOP Trust), in connection with the Morgan Stanley UK Share Ownership Plan. I understand that, subject to the UK SOP Trust’s terms, (A) I must sign, date and return this form in order for Equiniti to vote or grant proxies with respect to my shares, and (B) if I sign, date and return this form, Equiniti will vote or grant proxies in accordance with the Board of Directors’ recommendation as to each proposal for which I do not give voting instructions and in its discretion on all other matters that may properly come before the meeting.

 

Voting instructions must be received by 11:59 P.M. (EDT) on May 9, 2013 for shares to be voted in accordance with your instructions.

  

 

 

 

  

Notice of 2013 Morgan Stanley Annual Meeting of Shareholders

2000 Westchester Avenue, Purchase, New York 10577

May 14, 2013, 9 a.m., local time

  

At the meeting, we plan to:

 

   

elect members of the Board of Directors;

 

   

ratify the appointment of Deloitte & Touche LLP as independent auditor;

 

   

approve the compensation of executives as disclosed in the proxy statement (non-binding advisory resolution);

 

   

approve the amendment of the 2007 Equity Incentive Compensation Plan to increase shares available for grant;

 

   

approve the amendment of the 2007 Equity Incentive Compensation Plan to provide for qualifying performance-based long-term incentive awards under Section 162(m);

 

   

approve the amendment of the Section 162(m) performance formula governing annual incentive compensation for certain officers; and

 

   

transact such other business as may properly come before the meeting.

To view or print a copy of our Proxy Statement or Annual Report on Form 10-K, go to www.morganstanley.com/2013ams. You may request a copy of any of these documents by calling 1-212-762-8131.

The shares for which you provide voting instructions with this form include your Morgan Stanley 401(k) Plan shares, if any. However, if you want to provide voting instructions for your shares in this plan differently from your other plan shares, call 1-212-296-7767 to request separate voting instruction forms for these shares.

If you also hold shares in a brokerage account or in your own name, you also will receive a separate proxy card or voting instruction form for those shares. Please be sure to provide voting instructions for these shares separately from (and in addition to) your employee plan shares. Be sure to follow the voting instructions on each form.

MS 002


Table of Contents

Morgan Stanley’s Board recommends a vote “ FOR ” the nominees listed below:

 

1. Election of Directors   FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
01 Erskine B. Bowles      ¨          ¨            ¨        08 Donald T. Nicolaisen      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
02 Howard J. Davies      ¨          ¨            ¨        09 Hutham S. Olayan      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
03 Thomas H. Glocer      ¨          ¨            ¨        10 James W. Owens      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
04 James P. Gorman      ¨          ¨            ¨        11 O. Griffith Sexton      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
05 Robert H. Herz      ¨          ¨            ¨        12 Ryosuke Tamakoshi      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
06 C. Robert Kidder      ¨          ¨            ¨        13 Masaaki Tanaka      ¨          ¨            ¨      
    FOR AGAINST ABSTAIN     FOR AGAINST ABSTAIN
07 Klaus Kleinfeld      ¨          ¨            ¨        14 Laura D. Tyson      ¨          ¨            ¨      
             

 


MARK VOTES  

AS SHOWN       

USING BLACK  

OR BLUE INK    

  x

 

Morgan Stanley’s Board recommends a vote “ FOR ” Proposals 2 through 6 below:

 

2.  

To ratify the appointment of Deloitte & Touche LLP as independent auditor

 

 

FOR AGAINST ABSTAIN

     ¨           ¨              ¨       

3.

 

To approve the compensation of executives as disclosed in the proxy statement (non-binding advisory resolution)

 

 

FOR AGAINST ABSTAIN

   ¨           ¨              ¨       

4.  

To amend the 2007 Equity Incentive Compensation Plan to increase shares available for grant

 

 

FOR AGAINST ABSTAIN

   ¨           ¨              ¨       

5.   To amend the 2007 Equity Incentive Compensation Plan to provide for qualifying performance-based long-term incentive awards under Section 162(m)  

FOR AGAINST ABSTAIN

   ¨           ¨              ¨       

       
6.   To amend the Section 162(m) performance formula governing annual incentive compensation for certain officers  

FOR AGAINST ABSTAIN

   ¨          ¨              ¨       

 

 

   
       
 

 


Sign exactly as imprinted (do not print). If shares are held jointly, EACH holder should sign. Executors, administrators, trustees, guardians and others signing in a representative capacity should indicate the capacity in which they sign. An authorized officer signing on behalf of a corporation should indicate the name of the corporation and the officer’s title.

Dated                                    , 2013    Signature                                      Co-owner (if any) Signature                                           

 

 

   é    é     DETACH HERE IF YOU ARE SUBMITTING BY MAIL      é      é

 

Morgan Stanley

MS 003

 


Table of Contents
        

MORGAN STANLEY

 

THIS PROXY IS SOLICITED ON BEHALF OF THE BOARD OF DIRECTORS

FOR THE 2013 ANNUAL MEETING OF SHAREHOLDERS, MAY 14, 2013

 

The undersigned hereby appoints Eric F. Grossman, James A. Rosenthal and Martin M. Cohen, and each of them, attorneys and proxies with full power of substitution, to represent and to vote on behalf of the undersigned all of the shares of common stock of Morgan Stanley that the undersigned is entitled in any capacity to vote if personally present at the 2013 Annual Meeting of Shareholders to be held on May 14, 2013, and at any adjournments or postponements thereof, in accordance with the instructions set forth on the reverse side of this proxy card and with the same effect as though the undersigned were present in person and voting such shares. Each of the proxies is authorized in his discretion to vote for the election of a person to the Board of Directors if any nominee named herein becomes unable to serve or for good cause will not serve, upon all matters incident to the conduct of the meeting, and upon such other business as may properly come before the meeting.

 

  
        

PLEASE RETURN THIS PROXY CARD AFTER SIGNING AND DATING IT.

 

THIS PROXY WILL BE VOTED AS DIRECTED. IF THIS PROXY IS SIGNED, BUT NO DIRECTION IS

MADE, IT WILL BE VOTED IN ACCORDANCE WITH THE RECOMMENDATION OF MORGAN

STANLEY’S BOARD OF DIRECTORS.

  
        

 

 

 

 

 

 

 

 

 

MS 003

 

  
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