401k Plan data: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN plan

MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 401k Plan overview

Plan Name	MORGAN STANLEY EMPLOYEES RETIREMENT PLAN
Plan identification number	001

MORGAN STANLEY EMPLOYEES RETIREMENT PLAN Benefits

401k Plan Type

Defined Benefit Pension

Plan Features/Benefits

Benefits are primarily pay related
Covered by PBGC - Plan is covered under the PBGC insurance program (see ERISA section 4021).
Frozen Plan - As of the last day of the plan year, the plan provides that no participant will get any new benefit accrual (whether because of service or compensation).
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.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.
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)).

401k Sponsoring company profile

SANDLER O'NEILL ASSET MANAGEMENT, LLC has sponsored the creation of one or more 401k plans.

Company Name: SANDLER O'NEILL ASSET MANAGEMENT, LLC

Employer identification number (EIN): 132655998

NAIC Classification: 523900

Form 5500 Filing Information

Submission information for form 5500 for 401k plan MORGAN STANLEY EMPLOYEES RETIREMENT PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2014-01-01 TERRY MALTESE
001 2013-01-01 JOHN SPARACIO
001 2010-01-01 JENNIFER CACCIATORE BRUCE MONTE, JR. 2013-10-13
001 2009-01-01 MICHAEL FORGIT KIM MURRAY 2010-10-15

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2014-01-01	TERRY MALTESE
001	2013-01-01	JOHN SPARACIO
001	2010-01-01	JENNIFER CACCIATORE	BRUCE MONTE, JR.	2013-10-13
001	2009-01-01	MICHAEL FORGIT	KIM MURRAY	2010-10-15

Plan Statistics for MORGAN STANLEY EMPLOYEES RETIREMENT PLAN

401k plan membership statisitcs for MORGAN STANLEY EMPLOYEES RETIREMENT PLAN

Measure Date Value
2014: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year 2014-01-01 26
Total number of active participants reported on line 7a of the Form 5500 2014-01-01 0
Number of retired or separated participants receiving benefits 2014-01-01 0
Number of other retired or separated participants entitled to future benefits 2014-01-01 0
Total of all active and inactive participants 2014-01-01 0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2014-01-01 0
Total participants 2014-01-01 0
Number of participants with account balances 2014-01-01 0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2014-01-01 0
2013: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year 2013-01-01 22
Total number of active participants reported on line 7a of the Form 5500 2013-01-01 24
Number of retired or separated participants receiving benefits 2013-01-01 0
Number of other retired or separated participants entitled to future benefits 2013-01-01 2
Total of all active and inactive participants 2013-01-01 26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2013-01-01 0
Total participants 2013-01-01 26
Number of participants with account balances 2013-01-01 25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2013-01-01 0
2010: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year 2010-01-01 42,237
Total number of active participants reported on line 7a of the Form 5500 2010-01-01 17,575
Number of retired or separated participants receiving benefits 2010-01-01 3,943
Number of other retired or separated participants entitled to future benefits 2010-01-01 17,734
Total of all active and inactive participants 2010-01-01 39,252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2010-01-01 517
Total participants 2010-01-01 39,769
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2010-01-01 844
2009: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year 2009-01-01 41,414
Total number of active participants reported on line 7a of the Form 5500 2009-01-01 18,701
Number of retired or separated participants receiving benefits 2009-01-01 3,638
Number of other retired or separated participants entitled to future benefits 2009-01-01 17,125
Total of all active and inactive participants 2009-01-01 39,464
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2009-01-01 575
Total participants 2009-01-01 40,039
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2009-01-01 1,484

Measure	Date	Value
2014: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2014 401k membership
Total participants, beginning-of-year	2014-01-01	26
Total number of active participants reported on line 7a of the Form 5500	2014-01-01	0
Number of retired or separated participants receiving benefits	2014-01-01	0
Number of other retired or separated participants entitled to future benefits	2014-01-01	0
Total of all active and inactive participants	2014-01-01	0
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2014-01-01	0
Total participants	2014-01-01	0
Number of participants with account balances	2014-01-01	0
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2014-01-01	0
2013: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2013 401k membership
Total participants, beginning-of-year	2013-01-01	22
Total number of active participants reported on line 7a of the Form 5500	2013-01-01	24
Number of retired or separated participants receiving benefits	2013-01-01	0
Number of other retired or separated participants entitled to future benefits	2013-01-01	2
Total of all active and inactive participants	2013-01-01	26
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2013-01-01	0
Total participants	2013-01-01	26
Number of participants with account balances	2013-01-01	25
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2013-01-01	0
2010: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2010 401k membership
Total participants, beginning-of-year	2010-01-01	42,237
Total number of active participants reported on line 7a of the Form 5500	2010-01-01	17,575
Number of retired or separated participants receiving benefits	2010-01-01	3,943
Number of other retired or separated participants entitled to future benefits	2010-01-01	17,734
Total of all active and inactive participants	2010-01-01	39,252
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2010-01-01	517
Total participants	2010-01-01	39,769
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2010-01-01	844
2009: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2009 401k membership
Total participants, beginning-of-year	2009-01-01	41,414
Total number of active participants reported on line 7a of the Form 5500	2009-01-01	18,701
Number of retired or separated participants receiving benefits	2009-01-01	3,638
Number of other retired or separated participants entitled to future benefits	2009-01-01	17,125
Total of all active and inactive participants	2009-01-01	39,464
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2009-01-01	575
Total participants	2009-01-01	40,039
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2009-01-01	1,484

Financial Data on MORGAN STANLEY EMPLOYEES RETIREMENT PLAN

Measure	Date	Value
2014 : MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2014 401k financial data
Transfers to/from the plan	2014-02-28	$-4,484,978
Total plan liabilities at end of year	2014-02-28	$0
Total income from all sources	2014-02-28	$220,353
Expenses. Total of all expenses incurred	2014-02-28	$220,425
Benefits paid (including direct rollovers)	2014-02-28	$220,415
Total plan assets at end of year	2014-02-28	$0
Total plan assets at beginning of year	2014-02-28	$4,485,050
Value of fidelity bond covering the plan	2014-02-28	$100,000
Total contributions received or receivable from participants	2014-02-28	$75,583
Other income received	2014-02-28	$96,376
Net income (gross income less expenses)	2014-02-28	$-72
Net plan assets at end of year (total assets less liabilities)	2014-02-28	$0
Net plan assets at beginning of year (total assets less liabilities)	2014-02-28	$4,485,050
Assets. Value of participant loans	2014-02-28	$0
Total contributions received or receivable from employer(s)	2014-02-28	$48,394
Expenses. Administrative service providers (salaries,fees and commissions)	2014-02-28	$10
2013 : MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2013 401k financial data
Transfers to/from the plan	2013-12-31	$0
Total plan liabilities at end of year	2013-12-31	$0
Total income from all sources	2013-12-31	$1,229,378
Expenses. Total of all expenses incurred	2013-12-31	$282,071
Benefits paid (including direct rollovers)	2013-12-31	$276,978
Total plan assets at end of year	2013-12-31	$4,485,050
Total plan assets at beginning of year	2013-12-31	$3,537,743
Value of fidelity bond covering the plan	2013-12-31	$100,000
Total contributions received or receivable from participants	2013-12-31	$172,870
Expenses. Other expenses not covered elsewhere	2013-12-31	$0
Contributions received from other sources (not participants or employers)	2013-12-31	$13,541
Other income received	2013-12-31	$973,046
Noncash contributions received	2013-12-31	$0
Net income (gross income less expenses)	2013-12-31	$947,307
Net plan assets at end of year (total assets less liabilities)	2013-12-31	$4,485,050
Net plan assets at beginning of year (total assets less liabilities)	2013-12-31	$3,537,743
Assets. Value of participant loans	2013-12-31	$69,439
Total contributions received or receivable from employer(s)	2013-12-31	$69,921
Value of certain deemed distributions of participant loans	2013-12-31	$5,084
Value of corrective distributions	2013-12-31	$0
Expenses. Administrative service providers (salaries,fees and commissions)	2013-12-31	$9
2010 : MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2010 401k financial data
Unrealized appreciation/depreciation of other (non real estate) assets	2010-12-31	$133,165,937
Total unrealized appreciation/depreciation of assets	2010-12-31	$133,165,937
Total transfer of assets from this plan	2010-12-31	$1,430,688
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$73,412,123
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2010-12-31	$88,537,049
Total income from all sources (including contributions)	2010-12-31	$267,413,815
Total loss/gain on sale of assets	2010-12-31	$53,476,210
Total of all expenses incurred	2010-12-31	$80,657,737
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2010-12-31	$74,606,049
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2010-12-31	$0
Value of total assets at end of year	2010-12-31	$2,397,380,485
Value of total assets at beginning of year	2010-12-31	$2,227,180,021
Total of administrative expenses incurred including professional, contract, advisory and management fees	2010-12-31	$6,051,688
Total interest from all sources	2010-12-31	$19,090,168
Total dividends received (eg from common stock, registered investment company shares)	2010-12-31	$920,220
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2010-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2010-12-31	$926,240
Administrative expenses professional fees incurred	2010-12-31	$1,192,386
Assets. Corporate prefeered stocks other than exployer securities at end of year	2010-12-31	$0
Assets. Corporate prefeered stocks other than exployer securities at beginning of year	2010-12-31	$0
Was this plan covered by a fidelity bond	2010-12-31	Yes
Value of fidelity bond cover	2010-12-31	$125,000,000
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2010-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2010-12-31	No
Assets. Other investments not covered elsewhere at end of year	2010-12-31	$34,186,050
Assets. Other investments not covered elsewhere at beginning of year	2010-12-31	$13,877,127
Value of other receiveables (less allowance for doubtful accounts) at end of year	2010-12-31	$79,945,985
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2010-12-31	$72,430,957
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at end of year	2010-12-31	$72,326,559
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2010-12-31	$87,483,236
Other income not declared elsewhere	2010-12-31	$31,768
Administrative expenses (other) incurred	2010-12-31	$1,430,688
Liabilities. Value of operating payables at end of year	2010-12-31	$1,085,564
Liabilities. Value of operating payables at beginning of year	2010-12-31	$1,053,813
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2010-12-31	No
Value of net income/loss	2010-12-31	$186,756,078
Value of net assets at end of year (total assets less liabilities)	2010-12-31	$2,323,968,362
Value of net assets at beginning of year (total assets less liabilities)	2010-12-31	$2,138,642,972
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2010-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2010-12-31	No
Were any leases to which the plan was party in default or uncollectible	2010-12-31	No
Investment advisory and management fees	2010-12-31	$2,701,999
Value of interest in registered invesment companies (eg mutual funds) at end of year	2010-12-31	$11,807,115
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2010-12-31	$10,411,257
Interest earned on other investments	2010-12-31	$979,836
Income. Interest from US Government securities	2010-12-31	$12,269,587
Income. Interest from corporate debt instruments	2010-12-31	$5,892,826
Value of interest in common/collective trusts at end of year	2010-12-31	$676,623,849
Value of interest in common/collective trusts at beginning of year	2010-12-31	$641,739,308
Value of interest bearing cash (including money market accounts and certificates of deposits) at end of year	2010-12-31	$253,261
Interest-bearing cash (include money market accounts & certificates of deposit) at beginning of the Year	2010-12-31	$3,197,434
Value of interest bearing cash (including money market accounts and certificates of deposits) at beginning of year	2010-12-31	$3,197,434
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2010-12-31	$-52,081
Assets. Value of investments in 103.12 investment entities at beginning of year	2010-12-31	$0
Asset value of US Government securities at end of year	2010-12-31	$1,216,729,519
Asset value of US Government securities at beginning of year	2010-12-31	$1,050,246,839
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2010-12-31	$469,619
Net investment gain or loss from common/collective trusts	2010-12-31	$60,259,893
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2010-12-31	Yes
Was there a failure to transmit to the plan any participant contributions	2010-12-31	No
Has the plan failed to provide any benefit when due under the plan	2010-12-31	No
Contributions received in cash from employer	2010-12-31	$0
Income. Dividends from preferred stock	2010-12-31	$0
Income. Dividends from common stock	2010-12-31	$-6,020
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2010-12-31	$74,606,049
Asset. Corporate debt instrument preferred debt at end of year	2010-12-31	$98,709,790
Asset. Corporate debt instrument preferred debt at beginning of year	2010-12-31	$79,904,751
Asset. Corporate debt instrument debt (other) at end of year	2010-12-31	$279,124,916
Asset. Corporate debt instrument debt (other) at beginning of year	2010-12-31	$355,361,602
Contract administrator fees	2010-12-31	$2,157,303
Assets. Corporate common stocks other than exployer securities at end of year	2010-12-31	$0
Assets. Corporate common stocks other than exployer securities at beginning of year	2010-12-31	$10,746
Did the plan have assets held for investment	2010-12-31	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	2010-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2010-12-31	No
Aggregate proceeds on sale of assets	2010-12-31	$1,587,352,100
Aggregate carrying amount (costs) on sale of assets	2010-12-31	$1,533,875,890
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2010-12-31	No
Opinion of an independent qualified public accountant for this plan	2010-12-31	Unqualified
Accountancy firm name	2010-12-31	DELOITTE & TOUCHE LLP
Accountancy firm EIN	2010-12-31	133891517
2009 : MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2009 401k financial data
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2009-12-31	$0

Form 5500 Responses for MORGAN STANLEY EMPLOYEES RETIREMENT PLAN

2014: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2014 form 5500 responses
2014-01-01	Type of plan entity	Single employer plan
2014-01-01	This submission is the final filing	Yes
2014-01-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2014-01-01	Plan funding arrangement – Trust	Yes
2014-01-01	Plan benefit arrangement - Trust	Yes
2013: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2013 form 5500 responses
2013-01-01	Type of plan entity	Single employer plan
2013-01-01	Submission has been amended	No
2013-01-01	This submission is the final filing	No
2013-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2013-01-01	Plan is a collectively bargained plan	No
2013-01-01	Plan funding arrangement – Trust	Yes
2013-01-01	Plan benefit arrangement - Trust	Yes
2010: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2010 form 5500 responses
2010-01-01	Type of plan entity	Single employer plan
2010-01-01	Submission has been amended	Yes
2010-01-01	This submission is the final filing	No
2010-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2010-01-01	Plan is a collectively bargained plan	No
2010-01-01	Plan funding arrangement – Trust	Yes
2010-01-01	Plan benefit arrangement - Trust	Yes
2009: MORGAN STANLEY EMPLOYEES RETIREMENT PLAN 2009 form 5500 responses
2009-01-01	Type of plan entity	Single employer plan
2009-01-01	Submission has been amended	No
2009-01-01	This submission is the final filing	No
2009-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2009-01-01	Plan is a collectively bargained plan	No
2009-01-01	Plan funding arrangement – Trust	Yes
2009-01-01	Plan benefit arrangement - Trust	Yes

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Company Name:	SANDLER O'NEILL ASSET MANAGEMENT, LLC
Employer identification number (EIN):	132655998
NAIC Classification:	523900