| FORM 3 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 | | OMB APPROVAL | | OMB Number: | 3235-0104 | | Expires: | February 28, 2011 | | Estimated average burden | | hours per response | 0.5 |
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1. Name and Address of Reporting Person*
(Street)
| 2. Date of Event Requiring Statement (Month/Day/Year)
07/01/2009 | 3. Issuer Name and Ticker or Trading Symbol
MORGAN STANLEY
[MS]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)| X | Director | | 10% Owner | | Officer (give title below) | | Other (specify below) | |
| 5. If Amendment, Date of Original Filed (Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X | Form filed by One Reporting Person | | Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Beneficially Owned |
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| 1. Title of Security (Instr.
4)
| 2.
Amount of Securities Owned (Instr.
4)
| 3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
| 4. Nature of Indirect Beneficial Ownership (Instr.
5)
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Common Stock
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20,000
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D
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Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year)
| 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Excercise Price of Derivative Security
| 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)
| 6. Nature of Indirect Beneficial Ownership (Instr. 5)
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| Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
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| Explanation of Responses: |
| /s/ James H. Hance, Jr. | 07/07/2009 |
| ** Signature of Reporting Person | Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
|
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
The undersigned hereby makes, constitutes and appoints each of Martin M. Cohen,
Charlene R. Herzer, Jeanne Greeley O'Regan, Anna Xanthos, W. Gary Beeson, Jacob
E. Tyler, Tara M. Giannone and Melissa Bybee to act severally and not jointly,
as his true and lawful agents and attorneys-in-fact, with full power and
authority to act hereunder, each in his/her discretion, in the name of and for
and on behalf of the undersigned as fully as could the undersigned if present
and acting in person, to make any and all required or voluntary filings under
Section 16(a) of the Securities Exchange Act of 1934, as amended (the "Exchange
Act"), and the applicable rules and regulation thereunder, with the SEC, and any
and all applicable stock exchanges, Morgan Stanley and any other person or
entity to which such filings may be required under Section 16(a) of the Exchange
Act as a result of the undersigned's status as an officer, director or
stockholder of Morgan Stanley. This power of attorney shall remain in full
force and effect until the undersigned is no longer required to file Forms 3, 4
and 5 with respect to securities of Morgan Stanley.
IN WITNESS WHEREOF, the undersigned has executed this power of attorney,
effective as of this 26th day of June, 2009.
By:/s/ James H. Hance, Jr.