Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
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- Peter Lynch
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 4) *
Morgan Stanley
___________________________________________________________________
(Name of Issuer)
Common Stock
___________________________________________________________________
(Title of Class of Securities)
617446448
___________________________________________________________________
(CUSIP Number)
December 31, 2013
_____________________________________________________________________________
(Date of the Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed :
o Rule 13d-1(b)
x Rule 13d-1(c)
o Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provision of the Act (however, see the Notes.)
| CUSIP No. 617446448 |
|
1
|
NAME OF REPORTING PERSONS
China Investment Corporation
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
(a)
|
o
|
|
|
(b)
|
o
|
|
|
3
|
SEC USE ONLY
|
|
|
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
People’s Republic of China
|
|
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
|
5
|
SOLE VOTING POWER
0
|
|
6
|
SHARED VOTING POWER
91,782,3791
|
|
|
7
|
SOLE DISPOSITIVE POWER
0
|
|
|
8
|
SHARED DISPOSITIVE POWER
91,782,3791
|
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
91,782,3791
|
|
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
(SEE INSTRUCTIONS)
|
o
|
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.7%
|
|
|
12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
1 Includes 91,503,487 shares of Common Stock held by Harvest Investment Corporation, a wholly-owned subsidiary of China Investment Corporation, and 278,892 shares of Common Stock held by another wholly-owned subsidiary of China Investment Corporation, all as of December 31, 2013. See Item 4.
2
| CUSIP No. 617446448 |
|
1
|
NAME OF REPORTING PERSONS
Harvest Investment Corporation
|
|
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
|
|
(a)
|
o
|
|
|
(b)
|
o
|
|
|
3
|
SEC USE ONLY
|
|
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
People’s Republic of China
|
|
NUMBER OF SHARES
BENEFICIALLY OWNED BY
EACH REPORTING PERSON
|
5
|
SOLE VOTING POWER
0
|
|
6
|
SHARED VOTING POWER
91,503,487
|
|
|
7
|
SOLE DISPOSITIVE POWER
0
|
|
|
8
|
SHARED DISPOSITIVE POWER
91,503,487
|
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
91,503,487
|
|
|
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
(SEE INSTRUCTIONS)
|
o
|
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.7%
|
|
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
CO
|
3
Item 1(a) Name of Issuer
Morgan Stanley
Item 1(b) Address of Issuer’s Principal Executive Offices
1585 Broadway
New York, NY 10036
Item 2(a) Name of Persons Filing
China Investment Corporation
Harvest Investment Corporation
Item 2(b) Address of Principal Business Office or, if none, Residence
The address of China Investment Corporation and Harvest Investment Corporation is as follows:
New Poly Plaza
No. 1 Chaoyangmen Beidajie
Dongcheng District
Beijing 100010
People’s Republic of China
Item 2(c) Citizenship
China Investment Corporation and Harvest Investment Corporation are established under the Company Law of the People’s Republic of China
Item 2(d) Title of Class of Securities
Common Stock
Item 2(e) CUSIP Number
617446448
Item 3 If this statement in filed pursuant to §§240.13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
Not applicable
Item 4 Ownership
The number of shares of Common Stock beneficially owned by China Investment Corporation and Harvest Investment Corporation is as follows:
|
Reporting Person
|
Amount Beneficially Owned
|
Percent of Class
|
|
China Investment Corporation
|
91,782,379
|
4.7 %
|
|
Harvest Investment Corporation
|
91,503,487
|
4.7 %
|
4
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Reporting Person
|
Voting Power
|
Dispositive Power
|
||
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Sole
|
Shared
|
Sole
|
Shared
|
|
|
China Investment Corporation
|
0
|
91,782,379
|
0
|
91,782,379
|
|
Harvest Investment Corporation
|
0
|
91,503,487
|
0
|
91,503,487
|
China Investment Corporation is a wholly state-owned company incorporated under the Company Law of the People’s Republic of China. By virtue of China Investment Corporation being the parent of CIC International Co., Ltd., which is the parent of Harvest Investment Corporation, China Investment Corporation may be deemed to share beneficial ownership of the shares held by Harvest Investment Corporation. All information above regarding China Investment Corporation reflects the inclusion of (i) 91,503,487 shares of Common Stock held by Harvest Investment Corporation, a wholly-owned subsidiary of CIC International Co., Ltd., and (ii) 278,892 shares of Common Stock held by another wholly-owned subsidiary of CIC International Co., Ltd., all as of December 31, 2013.
Item 5 Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following x.
Item 6 Ownership of More than Five Percent on Behalf of Another Person
Not applicable
Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company
Not applicable.
Item 8 Identification and Classification of Members of the Group
Not applicable.
Item 9 Notice of Dissolution of Group
Not applicable.
Item 10 Certifications
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
5
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct as of February 13, 2014.
| CHINA INVESTMENT CORPORATION | ||||
| By: |
/s/ Ding Xuedong
|
|||
| Name: |
Ding Xuedong
|
|||
| Title: |
Chairman & CEO
|
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| HARVEST INVESTMENT CORPORATION | ||||
| By: |
/s/ Li Keping
|
|||
| Name: |
Li Keping
|
|||
| Title: |
President & Executive Director
|
|||
6
Exhibit Index
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Exhibit A
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Joint Filing Agreement, dated January 28, 2011, between China Investment Corporation and Harvest Investment Corporation. †
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†
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Previously filed on February 14, 2011.
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