How to Register and Certify your Morgan Stanley StockPlan ......Amazon Stock portal. • To choose Morgan Stanley, click “Select Morgan Stanley,” then “Yes, create account at

HOW-TO SERIES

How to Register and Tax Certifyyour Morgan Stanley StockPlan Connect Account

To register a Morgan Stanley StockPlan Connect account for the first time or to switch from Fidelity to Morgan Stanley, please follow these easy steps:

1. Choose Morgan Stanley as your stock plan provider and broker on the Amazon Stock portal.

• To choose Morgan Stanley, click “Select Morgan Stanley,”then “Yes, create account at Morgan Stanley.”

• If you need more information to make your choice, click the “Learn more about Morgan Stanley” link on the Amazon Stock portal or go to www.morganstanley.com/amazon.

2. Register your StockPlan Connect account and complete your tax certification by following the prompts online and five steps explained starting on the next page.

• All employees opening a StockPlan Connect account must certify their tax status, either with a Form W-9 or W-8BEN. U.S. persons will be prompted to complete Form W-9. Non-U.S. persons generally complete Form W-8BEN. Please consult your tax advisor if you need to confirm the correct form for your situation. If your tax certification is incomplete, the proceeds from any stock sale may be subject to an additional U.S. backup withholding tax at 24%1.

• If you are a U.S. resident, you may also open a companion Morgan

Stanley Access Direct (MSAD) brokerage account; this account is

optional. Eligible employees will be invited to open an MSAD

account during the StockPlan Connect registration process. The

MSAD brokerage account allows eligible employees to use RSU sale

proceeds to trade other stocks, ETFs and mutual funds. To learn

more about the Morgan Stanley Access Direct brokerage account

click here.

1 Backup withholding is not an additional tax. Amounts collected as backup withholding may be credited against your U.S. federal income tax liability.

http://www.morganstanley.com/amazon

https://www.morganstanley.com/spc/amazon/docs/en/MSAD-Guide-Amazon-CRC2807456-031720.pdf

1

Follow these guidelines to create your

NEW USER NAME:

• Must be between six and 20characters

• Can be lowercase anduppercase characters

• Can contain the following symbols: period (.), underscore ( _ ) and hyphen (-)

• Cannot contain two consecutivespecial characters1

• Cannot begin with a special character1

Follow these guidelines to create your

NEW PASSWORD:

• Must be between eightand 20 characters

• Must have at least one number and one letter

• Can contain all specialcharacters except (<) and (>)*

• Cannot contain blank spaces• Cannot contain letters that do not

form part of the English alphabet and diacritics including accents andtildes.

Re-enter your NEW PASSWORD.

a b

All screen shots are for illustrative purposes only and subject to change.1A special character is defined as a character that is not a letter, number, symbol or punctuation mark defined by the English alphabet.

ESTABLISH LOGIN CREDENTIALS

All steps below are required to fully register your account.a b

c

a

b c

HOW TO REGISTER AND TAX CERTIFY ON STOCKPLAN CONNECT

ACCOUNT REGISTRATION AND TAX CERTIFICATION PROCESS OVERVIEW:

Establish Login Credentials

Confirm Contact Information and Settings

Open a MorganStanley Access Direct account (optional, for U.S. residents only)

ConfirmAgreement for Market Data

Complete Tax Certification

1 2 3 4 5

• Passwords must match to proceed. A check mark will appear when you have entered thecorrect matchingpassword.

• Note: Passwords are case-sensitive and must comply with Morgan Stanleycomplexity standards. The strength of the password is measured by the password strength bar; a strong password provides your account greater security.


d

Choose three Security Questions and

type your answer to the question into

the blank field next to it. These

questions are used to verify your

identity.

Click “View Document” to read the

Terms and Conditions, Privacy Policy

and eDelivery Consent. After reviewing

the PDFs, please consent that you

have read and accept by checking

“Accept and register”.

d

g

e

f

All screen shots are for illustrative purposes only and subject to change.

f

----------------------------

If you prefer to receive a paper copy of

your documents (instead of an email

notification confirming the

document’savailability on the

website), uncheck the Enroll in

eDelivery box.

Click Next Step.

f

g

d

e

f


2

CONFIRM CONTACT INFORMATION AND SETTINGS

You must enter at least one phone

number where we can contact you

with questions about your account or

any related activity.

• Select the type of number

• Choose your country from the drop-down list

• Enter the phone number in the textbox

You must also enter and

confirm a personal email

address.

ClickContinue.

a b c

a

b

c


3


OPEN A MORGAN STANLEY ACCESS DIRECT ACCOUNT

(optional, for U.S. residents only)

For more information and instructions on opening a Morgan Stanley Access Direct account, click here.


https://www.morganstanley.com/spc/amazon/docs/en/MSAD-Guide-Amazon-CRC2807456-031720.pdf


4

CONFIRM AGREEMENT FOR MARKET DATA

a

To receive real-time quotes, view your

stock data and trade on the StockPlan

Connect website, you must accept the

Agreement for Market Data Display

Services. Choose either “I Accept the

Agreement" or "I Do Not Accept the

Agreement".

a



5

COMPLETE YOUR TAX CERTIFICATION – U.S. PERSONS

(This step is excluded if you already tax certified in Step 3)

a

b

c

d

e

Check box for "I AGREE to use Electronic

Records and Signatures".

Check box to "Agree to certification". Please note

that the system pre-checks "Item 2 Applies". If this

is incorrect, please uncheck this box. Checking the

“Item 2 Applies” box means you are not subject

to backup withholding because: (a) you are

exempt from backup withholding*, or (b) you

have not been notified by the Internal Revenue

Service (IRS) that you are subject to backup

withholding as a result of failure to report all

interest or dividends, or (c) the IRS has notified

you that you are no longer subject to backup

withholding. Please consult with your tax advisor

with any further questions.

Once you have completed these items, click Next.

You will be prompted to enter a one-time passcode,

which is your date of birth, or verify that your date

of birth is up-to-date as an extra security validation.

Please enter your date of birth to move forward.

NOTE: U.S. Persons must complete a Form W-9.

The proceeds from any stock sale may be subject

to a 24% backup withholding tax* if your account is

not tax certified with either a Form W-9 or a Form

W-8BEN. If you are unsure which form is right for

you, please consult a tax professional or

www.irs.gov.

* Payments that may be subject to a backup withholding include dividends and gross proceeds from the sale of stock. Backup withholding is not an additional tax. Amounts collected as backup withholding may be credited against your U.S. federal income taxliability.


a

d

b

e

c

Enter your Social Security number. Please note

your Social Security number (SSN) must match

what Morgan Stanley has on file from Amazon’s

records. Note: If your Social Security number is not

in our system, you will not be able to proceed to

the next step.

Review the definitions shown, and if appropriate, select "I am a U.S. Person“, then click Next.

h

h

h

h

h

http://www.irs.gov/


Click Save and proceed to the site.

g

Select your Preferred Currency.

h

SET LOCALIZATION PREFERENCE

Select your Preferred Language for website

and communications.


g

h

f

Welcome to StockPlan Connect!

f

g

h


5

TAX CERTIFICATION: NON-U.S. PERSONS

Note: There may be some additional questions or steps to the

Form W-8BEN process in the future, as requirements may change.

Review the definitions shown, and if appropriate, select“I am not a U.S Person", then Click Next.

b

Check the box for I AGREE to use Electronic Records

and Signatures.c

Provide your Country of Citizenship.

d

Provide your foreign tax identification number (FTIN) or

Reasonable Explanation for Absence of an FTTN

Note: All global participants certifying on a Form W-8BEN

are required to provide either a foreign tax identification

number (FTIN) or a “reasonable explanation” for the absence

of an FTIN. Failure to provide an FTIN may result in the

Form W-8BEN being rejected and, potentially, backup

withholding applying to your proceeds

Foreign tax identification number/tax identification number

(FTIN/TIN) is a standard term for an individual identification

number issued by a government agency. The name and

issuing authority of the FTIN/TIN varies by country.

To find your country’s FTIN/TIN, please review the OECD

Guide that will help you identify what your country’s

FTIN/TIN is called and its issuing authority.

e

Provide your date of birthNote: If we do not have your birth date and homeaddress in our system, then you will not be able to proceed to the next step.

f

Check the box for "I Agree to Certify".

g

Click Next. You will be prompted to enter a one-time

passcode, which is your date of birth, or verify that

your date of birth is up to date as an extra security

validation. Please enter your date of birth to move

forward.

Non-U.S. Persons are generally required to complete Form W-8BEN. If you’re unsure, ask your tax professional for help. See the next page for more details.


a

d

g

b

e

c

f

a

b

c

d

e

f

g


Click Save and proceed to the site.

g

Select your Preferred Currency

h

SET LOCALIZATION PREFERENCE

Required Fields

f

Select your Preferred Language for website

and communications.


g

h

f

Welcome to StockPlan Connect!

1

2


How to Update and Re-certify Your Form W-8BEN on StockPlan Connect

From your Dashboard, select your

Name in the top right corner.

Note: Your name will appear in the top

right-hand corner next to a circle containing

your first initial. If your name is more than

11 characters, then you will only see the

circle with your initial in it.

a

a

In the bottom right corner, under

Miscellaneous Account

Information, select Manage Tax

Certification Form.

b

Select Profile from the drop-downmenu.

a

a

b


a

b

a

3


a

Click Update Certification Form

and proceed with updating the

form.

a


a

4


Click Next.

COMPLETE FORM FIELDS

a

Check the box for "I AGREE to use

Electronic Records and Signature".

b

Select your Country of Citizenship

from the drop-down menu.

c

Provide your Foreign Tax Identification

Number or select an Exemption Reason

from the drop-down menu.

d

Confirm the accuracy of your nation of

residency under Claim of Tax Treaty Benefits.

e

Click Agree to Certify and insert your

name.

f

a

d

b

e

c

f

a

b

c

d

e

f


5


View your newly updated Form W-8BEN.

You are now recertified!


AMERICAS/

U.S. SERVICE CENTER

Direct dial

+1-801-617-7471

Hours

8:00 A.M. to 8:00 P.M. ET

(Eastern Time)

Monday through Friday

Canada, Mexico, United States

(Toll-free) +1-866-533-2575

Brazil

(Toll-free) 08000258632

Chile

(Toll-free) 123-0-020-3394

Colombia

(Toll-free) 01-800-518-4787

Costa Rica

(Toll-free) +1-877-392-2502

Argentina

(Toll-free) 08002665233

Staffed languages

English, Spanish plus translation

available in 200+ languages through

Language Line Solutions

EMEA SERVICE CENTER

Direct dial

+1 801 617 7746

Hours

9:00 A.M. to 5:30 P.M. EET

(Eastern European Time)


Austria, Belgium, Czech Republic,

Denmark, Finland, France, Germany,

Ireland, Israel, Italy, Luxembourg,

the Netherlands, Norway, Poland,

Portugal, Slovakia, South Africa, Spain,

Sweden, Switzerland, United Kingdom

(Toll-free) +800 6666 9999

Bahrain

(Toll-free) +800 0006 393

Jordan

(Toll-free) +080022436

Morocco

(Toll-free) +002 11 0011, when prompted,

8552907697

Romania

(Toll-free) +0800672625

Saudi Arabia

(Bharti Airtel, Mobily, Zain Toll-free)

+8008500442

(STC Saudi Toll-free) +8008442619

Turkey

(Toll-free) 00 800 4488 20347

United Arab Emirates

(Toll-free) +800 0444 9712

Staffed languages

English, Spanish, German, French, Italian

plus translation available in 200+

languages through Language Line

Solutions service

ASIA PACIFIC SERVICE CENTER

Direct dial

+613 9188 2064

Hours

10:00 A.M. to 6:00 P.M. AEST

(Australian Eastern Standard Time)


Australia, Hong Kong, Japan, Malaysia,

New Zealand, Philippines, Singapore,

South Korea, Taiwan, Thailand

(Toll-free) +800-2484-5555

China

(Toll-free) 00 800 2484 5555

- or -

Amazon Network Phone: 8000 (Toll-free),

Morgan Stanley queries: Option 1

- or -

Mobile Phone: 400-910-5681,Morgan

Stanley queries: Option 1

India

(Toll-free) +0008004402486

Indonesia

(Toll-free) 001803852926

Vietnam

(Viettel Toll-free) 00 122 80659 (VNPT

Toll-free) 00 120 32167

Staffed languages

English, Cantonese, Mandarin and

Japanese plus translation available in

200+ languages through Language

Line Solutions


Need Help?

For assistance, please call a Morgan Stanley Service Center:

Note: To confirm if mobile service is available in your country, contact your local telephone carrier. Toll-free lines may be limited

or not available and additional fees from your mobile carrier may apply.


Disclaimer

NOT ALL PRODUCTS AND SERVICES ARE AVAILABLE IN ALL JURISDICTIONS OR COUNTRIES.

Morgan Stanley Smith Barney LLC (“Morgan Stanley”), its affiliates and Morgan Stanley Financial Advisors or Private Wealth Advisors do not

provide tax or legal advice. Clients should consult their tax advisor for matters involving taxation and tax planning and their attorney for legal

matters.

Morgan Stanley Smith Barney LLC recommends that investors independently evaluate particular investments and strategies, and encourages

investors to seek the advice of a Financial Advisor. The appropriateness of a particular investment or strategy will depend on an investor’s

individual circumstances and objectives.

The Morgan Stanley Access Direct Account is a self-directed online brokerage account for U.S. residents where trading and other account

activities are undertaken at the client’s sole discretion without access to a Financial Advisor. This account is only available to employee

participants of equity compensation plans serviced by Morgan Stanley. There are no minimum balance requirements or account maintenance

fees associated with the account, and client’s interaction with Morgan Stanley will be primarily through electronic communications and online

resources. Please consider opening a full-service brokerage account if you would prefer to receive the investment guidance and assistance of a

Financial Advisor.

Equity securities may fluctuate in response to news on companies, industries, market conditions and general economic environment. Companies

paying dividends can reduce or stop payouts at any time.

An investment in an exchange-traded fund involves risks similar to those of investing in a broadly based portfolio of equity securities traded on

exchange in the relevant securities market, such as market fluctuations caused by such factors as economic and political developments, changes

in interest rates and perceived trends in stock prices. The investment return and principal value of ETF investments will fluctuate, so that an

investor’s ETF shares, if or when sold, may be worth more or less than the original cost.

Investors should carefully consider the investment objectives, risks, charges and expenses of a mutual fund and exchange traded fund

(ETF) before investing. The prospectus contains this and other information about the mutual fund and ETF. To obtain a prospectus, contact

your Financial Advisor or visit the mutual fund and ETF company’s website. Please read the prospectus carefully before investing.

Information related to your external accounts is provided for informational purposes only. It is provided by third parties, including the financial

institutions where your external accounts are held. Morgan Stanley does not verify that the information is accurate and makes no

representation or warranty as to its accuracy timeliness, or completeness. Additional information about the features and services offered

through Asset Aggregation are available on the Asset Aggregation site on Morgan Stanley Online and also in the Asset Aggregation Terms and

Conditions of Use.

Morgan Stanley Smith Barney LLC is a registered Broker/Dealer, Member SIPC, and not a bank. Where appropriate, Morgan Stanley Smith

Barney LLC has entered into arrangements with banks and other third parties to assist in offering certain banking related products and

services.

Investment, insurance and annuity products offered through Morgan Stanley Smith Barney LLC are: NOT FDIC INSURED | MAY LOSE VALUE |

NOT BANK GUARANTEED | NOT A BANK DEPOSIT

| NOT INSURED BY ANY FEDERAL GOVERNMENT AGENCY.

© 2020 Morgan Stanley Smith Barney LLC. Member SIPC.

CRC 3167769 - 8/20

Documents

How to Register and Certify your Morgan Stanley StockPlan ......Amazon Stock portal. • To choose Morgan Stanley, click “Select Morgan Stanley,” then “Yes, create account at