Morgan Stanley filings document the company’s financial services business, capital structure, governance and material events. The record includes 8-K reports for current events, proxy materials for annual meeting and shareholder voting matters, and securities listings covering common stock, depositary preferred shares and medium-term notes associated with Morgan Stanley Finance LLC.
Filings also disclose governance procedures, registered security classes, NYSE listing information, preferred stock series, debt-security registration matters and formal status changes such as a Form 25 notice for removal of a listed note class from exchange registration.
Morgan Stanley Smith Barney LLC, identified as indirectly controlled by Morgan Stanley, is named for a proposed sale of 2,920 common shares, with an aggregate market value of $534,447.60 and an approximate sale date of October 16, 2026, on NYSE. The shares relate to the entity’s facilitation of customer liquidations of fractional shares from July 17 through October 13, 2026. Customers acquired fractional shares through dividend reinvestment, employee stock purchase plans and account transfers. Morgan Stanley Smith Barney LLC also reported selling 4,040 common shares on July 20, 2026, for an aggregate market value of $869,044.40.
Morgan Stanley (MS) reported third-quarter 2026 net revenues of $20.338 billion, up 12% from $18.224 billion a year earlier. Net income applicable to Morgan Stanley was $4.909 billion, compared with $4.610 billion, and diluted EPS was $3.03 versus $2.80. Return on average tangible common equity was 22.6%, compared with 23.5%.
Wealth Management produced $9.065 billion in net revenues, up 10%, with $2.754 billion in pretax income; net new assets were $232.4 billion and fee-based flows were $80.5 billion. Institutional Securities generated $10.029 billion in net revenues, up 18%; Equity rose 41% to $5.799 billion while Fixed Income declined 7% to $2.011 billion. Investment Management net revenues fell 12% to $1.459 billion and pretax income fell 29% to $259 million; performance-based income and other revenues declined, driven by reversal of accrued carried interest related primarily to certain investments in one of its private funds. Morgan Stanley repurchased $1.540 billion of common stock and declared a $1.15 quarterly dividend, payable November 13, 2026, to common shareholders of record October 30, 2026.
Morgan Stanley’s 10% owner, Mitsubishi UFJ Financial Group Inc., returned 1,340,519 common shares to the issuer on September 22, 2026, at $212.5674 per share. It held 375,330,252 shares directly after the transaction. The disposition was effected pursuant to a sales plan adopted on April 18, 2018, designed to comply with Rule 10b5-1(c).
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Variable Income Auto‑Callable Notes due September 2, 2031, fully and unconditionally guaranteed by Morgan Stanley, in an aggregate principal amount of $415,000 at $1,000 per note.
The notes pay a variable monthly coupon: a higher rate of 10.65% per annum if on an observation date the closing level of each of Dell, Alphabet (Class C), Marvell and Tesla stock is at or above its stock‑specific coupon barrier level, and a lower rate of 0.25% per annum otherwise. From August 26, 2027 onward, the notes are automatically redeemed if on a redemption determination date each stock is at or above its call threshold level (90% of its initial level), returning principal plus the higher coupon for that period.
If not called, investors receive principal at maturity plus the applicable final coupon. The structure is based on the worst performing underlier, so weakness in any one stock drives outcomes. The estimated value on the pricing date is $951.30 per note, below the issue price, reflecting offering costs and issuer pricing. The notes are unsecured, not listed, and all payments depend on Morgan Stanley’s and MSFL’s credit.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering fixed rate callable notes due September 15, 2034, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and pays a fixed annual interest rate of 5.200%, with semi-annual interest payments each March 15 and September 15, beginning March 15, 2027.
The issuer may redeem the notes early, in whole but not in part, on semi-annual redemption dates starting September 15, 2030, at 100% of principal plus accrued interest, if a risk neutral valuation model indicates redemption is economically rational for the issuer. The estimated value on the pricing date is approximately $969.80 per $1,000 note, reflecting issuance, structuring and hedging costs borne by investors. Payments depend on the credit of Morgan Stanley and the notes will not be listed on any securities exchange. Net proceeds will be used for general corporate purposes.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering market-linked notes due August 29, 2031, tied to the S&P 500® Futures Excess Return Index. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and pay no periodic interest.
Each note has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $1,338,000. At maturity, investors receive $1,000 plus an upside payment equal to 130% of any positive percentage change in the index from its initial level of 612.01 to its final level; if the final level is equal to or less than the initial level, only principal is repaid.
The participation rate is 130%, so a 5% index gain would yield $1,065 per note. The notes are not listed on any exchange, and Morgan Stanley & Co. LLC may make a secondary market but is not obligated to. The estimated value on the pricing date is $946.30 per note, below the issue price due to embedded issuing, selling, structuring and hedging costs, and all payments are subject to Morgan Stanley’s credit risk.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is issuing fixed-income buffered auto-callable securities due August 29, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. The securities have a stated principal amount of $1,000 per security and an aggregate principal amount of $342,000, issued at par.
The notes pay a fixed coupon at an annual rate of 6.80%, with monthly coupon payments, regardless of index performance, so long as the notes remain outstanding. Starting August 25, 2027, the notes are subject to automatic early redemption if the index is at or above the call threshold of 1,245.802 (95% of the initial level 1,311.37), in which case investors receive principal plus the applicable coupon and the notes terminate.
If not called, at maturity investors receive principal back if the final index level is at or above the buffer level of 1,114.665 (85% of initial). If the final level is below the buffer, principal is reduced 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment at maturity of 15% of principal, plus the final coupon. The estimated value on the pricing date is $916.30 per security, reflecting structuring and hedging costs and issuer economics. All payments are unsecured and subject to the credit risk of Morgan Stanley Finance LLC and the Morgan Stanley guarantee.
Morgan Stanley (MS), as guarantor of notes issued by Morgan Stanley Finance LLC, is offering Enhanced Trigger Jump Securities linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index, under its Series A Global Medium-Term Notes program. Each security has a $1,000 principal amount, pays no interest and matures on August 29, 2030. If on the observation date each index is at or above its downside threshold (70% of its initial level), holders receive $1,000 plus a fixed $400 upside payment. If any index is below its threshold, the payoff is $1,000 multiplied by the performance factor of the worst-performing index, with losses of 1% of principal for each 1% decline and no minimum repayment, so principal can be fully lost. The securities are unsecured, subject to Morgan Stanley’s credit risk, have an estimated value on the pricing date of $958.80 per $1,000, and may have limited or no secondary market liquidity.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Buffered Performance Leveraged Upside Securities (Buffered PLUS) due August 31, 2028 linked to the EURO STOXX 50® Index. Each security has a $1,000 stated principal amount within a $538,000 aggregate issuance.
At maturity, if the index is above the initial level of 6,470.74, investors receive principal plus 150% of the index gain, capped at a maximum payment of $1,350 per security. If the index finishes between 85% and 100% of the initial level, investors receive only principal. Below the 85% buffer level of 5,500.129, principal is reduced 1% for each additional 1% decline, but not below the minimum payment of 15% of principal.
The securities pay no interest, are unsecured obligations of Morgan Stanley Finance LLC fully and unconditionally guaranteed by Morgan Stanley, and are subject to the issuer’s and guarantor’s credit risk. The estimated value on the pricing date is $984.00 per security, reflecting structuring and hedging costs and a rate advantageous to the issuer.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Dual Directional Buffered Participation Securities linked to the S&P 500® Index, maturing on October 1, 2027. Each note has a $1,000 stated principal amount, with an issue price of $1,000 and an estimated value on the pricing date of approximately $984.90, reflecting issuing, selling, structuring and hedging costs borne by investors.
At maturity, if the S&P 500® final level is above the initial level, holders receive principal plus 100% of upside, capped by a maximum upside payment of at least $1,123 per security (112.30% of principal). If the index is below or equal to the initial level but at or above 90% of it (the 10% buffer), investors earn a positive return equal to the absolute decline, up to an effective 10% gain. If the index closes below the buffer level, investors lose 1.1111% of principal for each 1% decline beyond the 10% buffer, with no minimum payment and the possibility of a total loss.
The notes pay no interest, are unsecured obligations of Morgan Stanley Finance LLC fully and unconditionally guaranteed by Morgan Stanley, and all payments are subject to Morgan Stanley’s credit risk. The S&P 500® closing level was 7,675.70 on August 26, 2026. Counsel currently views the securities as prepaid financial contracts for U.S. federal income tax purposes, though this treatment is uncertain.