MORGAN STANLEY - FORM 8-K - October 17, 2017

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EX-99.2 - EXHIBIT 99.2 - MORGAN STANLEYa51699215ex99_2.htm
EX-99.1 - EXHIBIT 99.1 - MORGAN STANLEYa51699215ex99_1.htm

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
               
WASHINGTON, D.C. 20549
               
FORM 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): October 17, 2017
 
Morgan Stanley
(Exact name of Registrant as specified
in its charter)
 
Delaware
1-11758
36-3145972
(State or other jurisdiction of incorporation)
(Commission
(I.R.S. Employer Identification No.)
 
File Number)
 
 
1585 Broadway, New York, New York 10036
(Address of principal executive offices, including zip code)
 
               
Registrant's telephone number, including area code:     (212) 761-4000
               
               
(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 (see General Instruction A.2. below):
  
               
[ ]         Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
  
[ ]         Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
  
[ ]         Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[ ]         Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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  ☐

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 October 17, 2017, Morgan Stanley (the "Registrant") released financial information with respect to its quarter ended September 30, 2017. 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 Registrant's Financial Data Supplement for its quarter ended September 30, 2017 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 9.01.
Financial Statements and Exhibits
 
 

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)  
 
By: /s/ Paul C. Wirth
  
     
 
  
  Paul C. Wirth  
  Deputy Chief Financial Officer  
     

 

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