Form D · Other Investment Fund

MORGAN STANLEY FUNDS PLC

Dublin 2, L2 · CIK 0001401426

Offering snapshot reported Nov 7, 2012 · SEC filing

Reported sold
$5.15B
Indefinite offering
Investors reported
357
Form D · investor count
Minimum accepted
$1M
Reported outside-investor minimum
First sale
Apr 1, 2003
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$2.58B$5.15BMay 22, 2007Oct 29, 2009: $1,516,250,287.00Oct 29, 2009Oct 29, 2010: $2,103,699,697.00Oct 29, 2010Oct 28, 2011: $4,219,390,868.00Oct 28, 2011Nov 7, 2012: $5,154,941,766.00Nov 7, 2012

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$4,219,390,868 → $5,154,941,766
  • Reported investors318 → 357

Filing history

Scroll to see all columns →

FiledFiling typeReported soldChange vs linked filingInvestorsSource
Nov 7, 2012Amendment$5,154,941,766$935,550,898vs Oct 28, 2011357SEC filing
Oct 28, 2011Amendment$4,219,390,868$2,115,691,171vs Oct 29, 2010318SEC filing
Oct 29, 2010Amendment$2,103,699,697$587,449,410vs Oct 29, 20099SEC filing
Oct 29, 2009Amendment$1,516,250,287No comparison9SEC filing
May 22, 2007PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$0
Finders' fees
$0
Form D file number
021-103654
Of this amount, $2,768,620,678 has been sold to 91 U.S. investors. Issuer is a continously offered investment fund.

Sales compensation recipients

Scroll to see all columns →

RecipientCRDAssociated broker-dealer
SunGard Institutional Brokerage Inc.8509SunGard Institutional Brokerage Inc. · CRD 8509
Bank of America, National Association (previously LaSalle Bank National Association)NoneBank of America, National Association (previously LaSalle Bank National Association)
Merriman Curhan Ford & Co.18296Merriman Curhan Ford & Co. · CRD 18296
Mellon Financial Markets, LLC17454Mellon Financial Markets, LLC · CRD 17454
The Bank of New YorkNoneThe Bank of New York
Morgan Stanley & Co. Incorporated8209Morgan Stanley & Co. Incorporated · CRD 8209
Citibank N.A. Agency & TrustNoneCitibank N.A. Agency & Trust
Hightower Securities LLC116681Hightower Securities LLC · CRD 116681
Union Bank NANoneUnion Bank NA
HSBC Bank USA, N.A.NoneHSBC Bank USA, N.A.

Source: Form D, filed Nov 7, 2012. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

MORGAN STANLEY FUNDS P.L.C - US DOLLAR LIQUIDITY FUND

Investment adviser: MORGAN STANLEY INVESTMENT MANAGEMENT INC.

Gross asset value
$3.45B
Beneficial owners
139
ADV minimum commitment
$5M

Reported in Form ADV on Aug 12, 2013. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET FUND SERVICES (IRELAND) LIMITED DUBLIN, Ireland Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ERNST & YOUNG DUBLIN, Ireland
Custodian STATE STREET CUSTODIAL SERVICES (IRELAND) LIMITED DUBLIN, Ireland Related to adviser: No
Marketer BANK OF AMERICA, NATIONAL ASSOCIATION ("BANA") CHICAGO, Illinois, United States Related to adviser: No
Marketer BNY MELLON CAPITAL MARKETS, LLC PITTSBURGH, Pennsylvania, United States Related to adviser: No
Marketer CITIBANK N.A. AGENCY & TRUST NEW YORK, New York, United States Related to adviser: No
Marketer HIGHTOWER SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: No
Marketer HSBC BANK USA, NA NEW YORK, New York, United States Related to adviser: No
Marketer MERRIMAN CAPITAL, INC. SAN FRANCISCO, California, United States Related to adviser: No
Marketer MORGAN STANLEY & CO. LLC NEW YORK, New York, United States Related to adviser: Yes
Marketer SUNGARD INSTITUTIONAL BROKERAGE INC. WHITE PLAINS, New York, United States Related to adviser: No
Marketer THE BANK OF NEW YORK NEW YORK, New York, United States Related to adviser: No
Marketer UNION BANK NA SAN FRANCISCO, California, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

BNY MELLON CAPITAL MARKETS, LLC
CRD 17454 · SEC 8-35255

HIGHTOWER SECURITIES, LLC
CRD 116681 · SEC 8-53560

MERRIMAN CAPITAL, INC.
CRD 18296 · SEC 8-36420

MORGAN STANLEY & CO. LLC
CRD 8209 · SEC 8-15869

SUNGARD INSTITUTIONAL BROKERAGE INC.
CRD 8509 · SEC 8-25844

Filing source

Form ADV 747801 · Aug 12, 2013 · Schedule D 7.B.(1), fund 805-7151649490

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Michael Griffin Director
Noel Langlois Director
Andrew Mack Director
David Mc Geough Director
N/A Morgan Stanley Investment Management Inc. Promoter

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
The Anchorage 17/19 Sir John Rogerson's Quay
Dublin 2, L2, ireland