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Morgan Stanley – ‘8-K’ for 1/20/21

On:  Wednesday, 1/20/21, at 8:15am ET   ·   For:  1/20/21   ·   Accession #:  1157523-21-58   ·   File #:  1-11758

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 1/20/21  Morgan Stanley                    8-K:2,7,9   1/20/21   14:7.6M                                   Business Wire/FA

Current Report   —   Form 8-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Morgan Stanley 8-K                                  HTML     47K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML    307K 
 3: EX-99.2     Miscellaneous Exhibit                               HTML    617K 
 4: EX-99.3     Miscellaneous Exhibit                               HTML     72K 
10: R1          Document and Entity Information                     HTML     74K 
12: XML         IDEA XML File -- Filing Summary                      XML     13K 
 9: XML         XBRL Instance -- a52363086_htm                       XML     45K 
11: EXCEL       IDEA Workbook of Financial Reports                  XLSX      6K 
 6: EX-101.DEF  XBRL Definitions -- ms-20210120_def                  XML     69K 
 7: EX-101.LAB  XBRL Labels -- ms-20210120_lab                       XML    105K 
 8: EX-101.PRE  XBRL Presentations -- ms-20210120_pre                XML     74K 
 5: EX-101.SCH  XBRL Schema -- ms-20210120                           XSD     24K 
13: JSON        XBRL Instance as JSON Data -- MetaLinks               20±    28K 
14: ZIP         XBRL Zipped Folder -- 0001157523-21-000058-xbrl      Zip    121K

‘8-K’   —   Morgan Stanley 8-K

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 iX:   C: 
 i false i 0000895421 i Morgan Stanley Cushing MLP High Income Index ETNs due March 21, 203100008954212021-01-202021-01-200000895421ms:GlobalMediumTermNotesSeriesAFixedRateStepUpSeniorNotesDue2026Memberms:NewYorkStockExchangeMember2021-01-202021-01-200000895421ms:NewYorkStockExchangeMemberms:NonCumulativePreferredStockSeriesE001ParValueMember2021-01-202021-01-200000895421ms:NonCumulativePreferredStockSeriesI001ParValueMemberms:NewYorkStockExchangeMember2021-01-202021-01-200000895421ms:NewYorkStockExchangeMemberms:CommonStock001ParValueMember2021-01-202021-01-200000895421ms:NewYorkStockExchangeMemberms:NonCumulativePreferredStockSeriesA001ParValueMember2021-01-202021-01-200000895421ms:NewYorkStockExchangeMemberms:NonCumulativePreferredStockSeriesL001ParValueMember2021-01-202021-01-200000895421ms:NonCumulativePreferredStockSeriesF001ParValueMemberms:NewYorkStockExchangeMember2021-01-202021-01-200000895421ms:MorganStanleyCushingMLPHighIncomeIndexETNsDueMarch212031Memberms:NYSEArcaIncMember2021-01-202021-01-200000895421ms:NonCumulativePreferredStockSeriesK001ParValueMemberms:NewYorkStockExchangeMember2021-01-202021-01-20
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
 
 
FORM  i 8-K
 
CURRENT REPORT
Pursuant To Section 13 or 15(d) of
the Securities Exchange Act of 1934
 
Date of report (Date of earliest event reported):  i January 20, 2021
 
 i Morgan Stanley
(Exact Name of Registrant
as Specified in Charter)
 
 i Delaware
 i 1-11758
 i 36-3145972
(State or Other Jurisdiction of Incorporation)
(Commission File Number)
(IRS Employer Identification No.)
 
 i 1585 Broadway,  i New York,  i New York
 
 i 10036
(Address of Principal Executive Offices)
 
(Zip Code)
 
 
 
Registrant’s telephone number, including area code: ( i 212)  i 761-4000
 
 i Not Applicable
(Former Name or Former Address, if Changed Since Last Report)
 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
 
 i ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
 i ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
 i ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
 i ☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 
Securities registered pursuant to Section 12(b) of the Act:
 
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
 i Common Stock, $0.01 par value
 i MS
 i New York Stock Exchange
Depositary Shares, each representing 1/1,000th interest in a share of Floating Rate
 i Non-Cumulative Preferred Stock, Series A, $0.01 par value
 i MS/PA
 i New York Stock Exchange
Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate
 i Non-Cumulative Preferred Stock, Series E, $0.01 par value
 i MS/PE

 i New York Stock Exchange
Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate
 i Non-Cumulative Preferred Stock, Series F, $0.01 par value
 i MS/PF
 i New York Stock Exchange
Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate
 i Non-Cumulative Preferred Stock, Series I, $0.01 par value
 i MS/PI
 i New York Stock Exchange
Depositary Shares, each representing 1/1,000th interest in a share of Fixed-to-Floating Rate
 i Non-Cumulative Preferred Stock, Series K, $0.01 par value
 i MS/PK
 i New York Stock Exchange
Depositary Shares, each representing 1/1,000th interest in a share of 4.875%
 i Non-Cumulative Preferred Stock, Series L, $0.01 par value
  i MS/PL
 i New York Stock Exchange
 i Global Medium-Term Notes, Series A, Fixed Rate Step-Up Senior Notes Due 2026
of Morgan Stanley Finance LLC (and Registrant’s guarantee with respect thereto)
 i MS/26C
 i New York Stock Exchange
Morgan Stanley Cushing® MLP High Income Index ETNs due March 21, 2031
 i MLPY
 i NYSE Arca, Inc.

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
 
Emerging growth company  i ☐
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐



Item 2.02
Results of Operations and Financial Condition.
   
On January 20, 2021, Morgan Stanley (the "Company") released financial information with respect to its quarter and year ended December 31, 2020. A copy of the press release containing this information is annexed as Exhibit 99.1 to this Report and by this reference incorporated herein and made a part hereof.  In addition, a copy of the Company's Financial Data Supplement for its quarter and year ended December 31, 2020 is annexed as Exhibit 99.2 to this Report and by this reference incorporated herein and made a part hereof.

The information furnished under Item 2.02 of this Report, including Exhibit 99.1 and Exhibit 99.2, shall be deemed to be "filed" for purposes of the Securities Exchange Act of 1934, as amended.

Item 7.01
Regulation FD Disclosure.
   
 On January 20, 2021, Morgan Stanley (the “Company”) released financial information with respect to its quarter and year ended December 31, 2020 and will hold an investor conference call.  Exhibit 99.3 is a copy of a presentation (the “Presentation”) to be presented on the conference call, furnished for, and posted on the Company’s website.

The Presentation is being furnished pursuant to Item 7.01, and the information contained therein shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities under that Section. Furthermore, the information contained in Exhibit 99.3 shall not be deemed to be incorporated by reference into the filings of the Registrant under the Securities Act of 1933, as amended.

Item 7.01 of this Current Report on Form 8-K (including Exhibit 99.3 hereto) contains forward-looking statements, including the attainment of certain financial and other targets, objectives and goals.  Readers are cautioned not to place undue reliance on forward-looking statements, which speak only as of the date on which they are made, which reflect management's current estimates, projections, expectations, assumptions, interpretations or beliefs and which are subject to risks and uncertainties that may cause actual results to differ materially.  Morgan Stanley does not undertake to update the forward-looking statements to reflect the impact of circumstances or events that may arise after the date of the forward-looking statements. For a discussion of risks and uncertainties that may affect the future results of Morgan Stanley, please see “Forward-Looking Statements” immediately preceding Part I, Item 1, “Competition” and “Supervision and Regulation” in Part I, Item 1, “Risk Factors” in Part I, Item 1A, “Legal Proceedings” in Part I, Item 3, “Management’s Discussion and Analysis of Financial Condition and Results of Operations” in Part II, Item 7 and “Quantitative and Qualitative Disclosures about Risk” in Part II, Item 7A, each of Morgan Stanley’s Annual Report on Form 10-K for the year ended December 31, 2019 and other items throughout the Form 10-K, Morgan Stanley’s Quarterly Reports on Form 10-Q, Morgan Stanley’s Current Reports on Form 8-K, the additional risk factors in the Company’s Form 8-Ks filed on April 16, 2020 and October 2, 2020, respectively, and the additional risk factors under “Risk Factors” in the Registration Statement on Form S-4 filed on December 4, 2020, including any amendments thereto, which have been filed with the Securities and Exchange Commission and are available on Morgan Stanley’s website at www.morganstanley.com and on the Securities and Exchange Commission’s website at www.sec.gov.

Item 9.01  
Financial Statements and Exhibits.
   
(d)
Exhibits

Exhibit
Number
Description
   
99.1
Press release of the Company, dated January 20, 2021, containing financial information for the quarter and year ended December 31, 2020.
   
99.2
Financial Data Supplement of the Company for the quarter and year ended December 31, 2020.
   
99.3
Morgan Stanley Presentation, dated January 20, 2021.
   
101
Interactive Data Files pursuant to Rule 406 of Regulation S-T formatted in Inline eXtensible Business Reporting Language (“Inline XBRL”).
   
104
Cover Page Interactive Data File (formatted in Inline XBRL and contained in Exhibit 101).


SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, hereunto duly authorized.
 
 
MORGAN STANLEY
    (Registrant)
Date:
January 20, 2021
 
By:
/s/   Raja Akram
 
 
 
 
Name:
Raja Akram
 
 
 
 
Title:
Deputy Chief Financial Officer

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
3/21/31
Filed on / For Period end:1/20/21424B2,  425,  FWP
12/31/2010-K,  11-K,  13F-HR,  424B2,  5,  FWP,  SC 13G
12/4/20424B2,  FWP,  S-4
10/2/203,  4,  424B2,  8-K,  FWP
4/16/20424B2,  425,  8-K,  FWP
12/31/1910-K,  11-K,  13F-HR,  424B2,  FWP,  SC 13G
 List all Filings 
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