Summary
Morgan Stanley filed an 8-K on January 17, 2014, to report its financial results for the fourth quarter and full year ended December 31, 2013. The report primarily references attached press releases, financial data supplements, and a presentation given during an investor conference call. These documents provide investors with detailed financial performance information, including segments like wealth management, investment banking, and trading. The filing emphasizes that the provided information should be reviewed in conjunction with forward-looking statements and risk factors previously disclosed in other SEC filings.
Key Highlights
- 1Morgan Stanley announced its financial results for the quarter and year ended December 31, 2013.
- 2The filing includes a press release (Exhibit 99.1) containing the financial information.
- 3A Financial Data Supplement (Exhibit 99.2) offers further details on the financial condition for the period.
- 4An investor conference call was held on January 17, 2014, accompanied by a presentation (Exhibit 99.3).
- 5Information furnished under Item 2.02 is considered 'filed' for regulatory purposes, while Exhibit 99.3 is furnished under Regulation FD and not 'filed' in the same manner.
- 6The company cautions investors to review forward-looking statements and risk factors detailed in prior SEC filings, as future results may differ materially.
- 7The filing serves as a notification of the release of Q4 and full-year 2013 financial data and related investor communications.
Frequently Asked Questions
The primary purpose of this 8-K filing is to formally announce and provide access to Morgan Stanley's financial results for the fourth quarter and the full fiscal year ended December 31, 2013. It directs investors to accompanying exhibits like press releases, financial data supplements, and a presentation from an investor call for detailed information.
The actual financial results and data are contained within the exhibits attached to this 8-K filing. Specifically, Exhibit 99.1 is the press release with financial information, and Exhibit 99.2 is the Financial Data Supplement, both for the period ending December 31, 2013.
Exhibit 99.3 is a presentation used during an investor conference call held on January 17, 2014. While it provides insights and context for the financial results, it is furnished under Regulation FD and is not considered 'filed' in the same way as the financial statements, meaning it doesn't carry the same liability under Section 18 of the Exchange Act.
This 8-K filing itself does not contain the full financial statements directly within its text. Instead, it incorporates them by reference through attached exhibits (Exhibit 99.1 and Exhibit 99.2) which include a press release and a financial data supplement detailing the results for the quarter and year ended December 31, 2013.