convenience the following most commonly requested forms are available
online in either Adobe Acrobat
Reader® (PDF format) or Microsoft®
Word. You need an Adobe Acrobat
Reader in order to view or print the PDF versions of these
forms, or Microsoft
Word to open and display the forms so that data can be
entered, printed and saved.
Please Note: Morgan Stanley cannot wire
money to third parties when the employee requesting the wire is not
part owner of the account.
- Substitute Form
A Form W-8BEN is a Certificate of Foreign Status form required by the IRS for non-U.S. participants. By completing a Form W-8BEN you certify under penalties of perjury that you are neither a U.S. citizen nor a resident alien, and are not subject to certain U.S. information return reporting. A Form W-8BEN generally remains in effect for three calendar years. A new form should also be completed each time you change your address.
General Instructions for the W-8BEN form: This form may be completed only by or for a nonresident alien individual. If you are a U.S. citizen or an alien resident in the United States for tax purposes, do not use this form instead complete a Form W-9. Failure to submit this form will result in IRS-mandated tax withholding.
- Form W-8BEN Additional Documentation Certificate Cover Sheet
In addition to the W-8BEN Form, certain accounts require additional documentation. Generally, if you have provided a certification of Foreign Status but you have a U.S. Address, you are required to provide additional account documentation. If your account requires additional documentation, please complete the cover sheet and return with the appropriate documentation to the instructions provided on the cover sheet.
- Substitute Form W-9
A Form W-9 is a Payer's Request for Taxpayer's Identification Number and Certification. Under penalties of perjury this form tells Morgan Stanley that you are not subject to backup withholding because of under-reporting interest and dividends on your tax return, and to certify that the Social Security Number shown on the Form is your correct taxpayer identification number. This form is generally applicable to U.S. persons, including resident aliens. The address to send the completed form appears on the bottom of the form.
Please Note: It is imperative that you certify your tax status prior to selling your shares with Morgan Stanley. You may certify by either completing a hard-copy form and faxing it to the number provided on the bottom of the form or online by accessing your account on our website at www.benefitaccess.com.
If this certification is not received, 28% backup withholding will be deducted from the proceeds of your sale.
Authorization to Transfer Assets by Fed Fund (PDF,
This form authorizes
Morgan Stanley to
transfer U.S. dollars generated from the exercise and sell of your
stock options to another account or financial institution in the form
of a wire transfer as specified by you. This is a standing instruction that does not expire. These instructions will remain in place until
modified or rescinded by you. The funds will not be wired automicatically unless
instructed at the time of the trade. This form is not valid for
transfer of funds other than U.S. dollars resulting from proceeds
converted by Worldlink.
- Letter of Authorization to Transfer Assets (Securities)
- Delivery to US Banks (PDF, MS Word)
- Delivery to Non-US Banks(PDF, MS Word)
This form authorizes Morgan Stanley to transfer assets from your employee stock plan account to another Morgan Stanley account
specified by you or to another financial institution.
- Change of Address
For permanent address
follow your company's guidelines for updating personal records.
Temporary address changes must be submitted in writing to Morgan Stanley
and remain in effect until the next time your company sends Morgan Stanley an updated address file.
Please Note: The fax
cover sheet can be used for this form only.
WorldLink Wire Form (PDF)
The WorldLink Form is used to allow participants the ability to receive proceeds in currencies other than US Dollars after the sale of stock. WorldLink provides exchange rates and distributes the proceeds to the participants in the form of currency check or currency wire.
WorldLink wires are allowed for ONLY certain non-US corporate clients. In order for you to receive a WorldLink Wire, Morgan Stanley must offer the desired local currency, your company plan must offer WorldLink, and a Form W-8BEN must be on file and approved at time of trade.
Please ensure the WorldLink Wire Form is completely filled out. Missing information will cancel out the currency conversion wire, and a US Dollar check will be mailed to the address of record instead
You should check with a Morgan Stanley Service Professional to verify if your company offers this method, and the desired currency before submitting this form.
Direct Registration Form (PDF,
The Securities and Exchange Commission passed a regulation eliminating the option to receive a stock certificate.
Companies that offer Direct Registration System (DRS) can no longer receive stock certificates.
Direct Registration is a free alternative to stock certificates that registers your shares directly on the books of the company transfer agent
without the need for a physical certificate to prove ownership. You do not receive a physical certificate, but instead receive a statement of ownership
and periodic account statements (at least yearly). Dividend or interest payments, proxy materials, annual reports, and other pertinent materials are
mailed to you from the issuer or transfer agent.
Please ensure the DRS Transfer Form is completely filled out. Missing information will delay processing the DRS transfer.
You should check with a Morgan Stanley Service Professional to verify if your company offers this.