Amendment to the Morgan Stanley 401(k) Plan (Effective January 1, 2016)
Morgan Stanley & Co. LLC has amended its 401(k) Plan, effective January 1, 2016. The changes update certain definitions in the plan, specifically adding references to Section 223 and clarifying the term "Earnings" and "Testing Compensation." The amendment also updates the list of participating companies, replacing one entity and adding several new affiliates. This amendment was executed by the company's Chief Human Resources Officer on December 13, 2016.
EXHIBIT 10.4
AMENDMENT TO THE
MORGAN STANLEY 401(k) PLAN
Morgan Stanley & Co. LLC (the “Company”) hereby amends the Morgan Stanley 401(k) Plan (the “401(k) Plan”) as follows:
1. Effective January 1, 2016, Section 2, Definitions, is amended by inserting “or sponsored” after “maintained” and inserting “223,” after “401(k)” in the second sentence of the definition of “Earnings”.
2. Effective January 1, 2016, Section 2, Definitions, is further amended by inserting “223,” after “401(k)” in the first sentence of the definition of “Testing Compensation”.
3. Effective January 1, 2016, Appendix B, Morgan Stanley Participating Companies, is amended by replacing the reference to “Morgan Stanley Asset Management Inc.” with “Morgan Stanley Investment Management Inc.” and inserting the following at the end of the list of Participating Companies therein:
“Morgan Stanley Bank, N.A.
MS Financing Inc.
Morgan Stanley Services Group Inc.
Morgan Stanley Services Company Inc.
Morgan Stanley Commercial Financial Services LLC
Morgan Stanley Private Bank, N.A.
Morgan Stanley NLE, LLC
Ceres Managed Futures LLC
Morgan Stanley Energy Capital, Inc.
Morgan Stanley Senior Funding Inc.”
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IN WITNESS WHEREOF, the Company has caused this Amendment to be executed on its behalf as of this 13th day of December, 2016.
| MORGAN STANLEY & CO. LLC | ||
| By: | /s/ Jeffrey Brodsky | |
| Title: | Chief Human Resources Officer | |
