8-KEarnings & ResultsRegulation FDExhibits & Filings

MORGAN STANLEY 8-K Report, Financial Results (Jan 18, 2013)

Filed January 18, 2013For Securities:MSMS-PKMS-POMS-PQMS-PAMS-PFMS-PIMS-PLMS-PPMS-PEMSTLW

Summary

Morgan Stanley filed an 8-K on January 18, 2013, to announce its financial results for the fourth quarter and full year ended December 31, 2012. The report primarily incorporates by reference a press release (Exhibit 99.1) and a financial data supplement (Exhibit 99.2) that contain the detailed financial information. Additionally, the company furnished a presentation (Exhibit 99.3) used during an investor conference call to discuss these results, which is available on their website and the SEC's EDGAR database. Investors should note that while the press release and data supplement are considered 'filed' and subject to SEC rules, the presentation furnished under Regulation FD is not considered filed for purposes of Section 18 of the Exchange Act. The report also includes standard cautionary language regarding forward-looking statements, advising investors to consult other SEC filings for a comprehensive understanding of risks and uncertainties affecting Morgan Stanley's future performance.

Key Highlights

  • 1Morgan Stanley announced its financial results for the quarter and year ended December 31, 2012.
  • 2The 8-K filing includes exhibits containing the detailed financial press release and a financial data supplement.
  • 3A presentation used in an investor conference call is also provided for public access.
  • 4Information furnished under Item 2.02 (Press Release & Data Supplement) is deemed 'filed'.
  • 5Information furnished under Item 7.01 (Presentation) is not deemed 'filed' under Section 18 of the Exchange Act.
  • 6The filing includes a disclaimer regarding forward-looking statements and directs investors to other SEC filings for risk factors.
  • 7The detailed financial performance metrics (revenue, profit, EPS, etc.) are available in the incorporated exhibits, not directly in the 8-K text.

Frequently Asked Questions

The actual financial results are not detailed within the text of the 8-K itself. They are provided in Exhibit 99.1 (the press release) and Exhibit 99.2 (the financial data supplement) which are incorporated by reference into the filing.

The financial press release and data supplement (Exhibits 99.1 and 99.2) are considered 'filed' under Item 2.02, meaning they are subject to SEC rules regarding their content and accuracy. The investor presentation (Exhibit 99.3), furnished under Item 7.01 (Regulation FD Disclosure), is not deemed 'filed' for purposes of Section 18 of the Securities Exchange Act of 1934, and thus does not carry the same liability for its contents.

Yes, the filing notes that the information furnished under Item 7.01, including the presentation, contains forward-looking statements. However, it advises investors to be cautious and refer to other SEC filings (like the Form 10-K and 10-Q) for a comprehensive discussion of risks and uncertainties that could affect actual future results.

The press release and financial data supplement (Exhibits 99.1 and 99.2) would contain key financial metrics such as revenue, net income, earnings per share (EPS), segment performance (e.g., Institutional Securities, Wealth Management, Investment Management), and balance sheet information for the fourth quarter and full year ended December 31, 2012.