8-KEarnings & ResultsRegulation FDExhibits & Filings

MORGAN STANLEY 8-K Report, Financial Results (Jan 20, 2021)

Filed January 20, 2021For Securities:MSMS-PKMS-POMS-PQMS-PAMS-PFMS-PIMS-PLMS-PPMS-PEMSTLW

Summary

Morgan Stanley filed an 8-K on January 20, 2021, to announce its financial results for the quarter and year ended December 31, 2020. The filing includes a press release (Exhibit 99.1) and a financial data supplement (Exhibit 99.2) detailing these results. Additionally, a presentation (Exhibit 99.3) prepared for an investor conference call is furnished under Regulation FD, providing further insights into the company's performance and outlook. Investors should note that while the press release and financial data supplement are considered 'filed' under the Securities Exchange Act of 1934, the presentation materials are 'furnished' and thus not subject to the same liability provisions. The filing also includes a standard disclaimer regarding forward-looking statements, cautioning investors about relying solely on projections due to inherent risks and uncertainties. The company directs readers to its previous filings for a comprehensive understanding of potential risks.

Key Highlights

  • 1Morgan Stanley released its Q4 and full-year 2020 financial results on January 20, 2021.
  • 2The filing incorporates by reference a press release (Exhibit 99.1) and a Financial Data Supplement (Exhibit 99.2) with detailed financial information.
  • 3A presentation (Exhibit 99.3) for an investor conference call is furnished, offering additional performance insights.
  • 4Information in the press release and financial supplement is considered 'filed' with the SEC.
  • 5The investor presentation is 'furnished' under Regulation FD and not subject to Section 18 liability.
  • 6The filing contains customary forward-looking statements, with a disclaimer about potential risks and uncertainties affecting actual results.
  • 7Investors are advised to consult previous SEC filings for a detailed discussion of the company's risks and uncertainties.

Frequently Asked Questions

The primary purpose of this 8-K filing is to announce and provide Morgan Stanley's financial results for the fourth quarter and the full year ended December 31, 2020. It also includes materials for an investor conference call.

The filing includes a press release (Exhibit 99.1), a Financial Data Supplement (Exhibit 99.2), and a presentation (Exhibit 99.3) for the investor conference call. Interactive data files in Inline XBRL format are also provided.

The press release and financial data supplement (Exhibits 99.1 and 99.2) are considered 'filed' and are subject to the Securities Exchange Act of 1934. However, the investor presentation (Exhibit 99.3) is 'furnished' under Regulation FD and is not deemed 'filed' for purposes of Section 18 of the Act, meaning it carries less legal liability.

The filing directs investors to consult Morgan Stanley's previous filings, including its Annual Report on Form 10-K for the year ended December 31, 2019, Quarterly Reports on Form 10-Q, and other Current Reports on Form 8-K, as well as specific registration statements, which contain detailed discussions of risks and uncertainties.