Welcome to our dedicated page for Morgan Stanley SEC filings (Ticker: MS), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Morgan Stanley (NYSE: MS) SEC filings page on Stock Titan brings together the firm’s regulatory disclosures, including current reports on Form 8‑K and other registered securities information. These filings show how Morgan Stanley communicates material events such as quarterly and annual financial results, capital actions, regulatory capital developments and securities offerings.
Form 8‑K filings frequently cover the release of financial information for specific quarters and for the full year, with press releases and financial data supplements filed as exhibits. Other 8‑K reports describe changes in the firm’s Stress Capital Buffer under the Federal Reserve’s supervisory stress testing framework, providing context on Morgan Stanley’s U.S. Basel III Standardized Approach Common Equity Tier 1 capital requirements.
The filings also list the securities registered under Section 12(b) of the Securities Exchange Act of 1934, including common stock, multiple series of non‑cumulative preferred stock represented by depositary shares, and global medium‑term notes issued by Morgan Stanley or Morgan Stanley Finance LLC, with Morgan Stanley acting as guarantor for certain notes. Additional 8‑K filings describe the approval of forms of master notes for global medium‑term notes and related legal opinions and consents.
On Stock Titan, these SEC documents are updated as they are made available on EDGAR. AI‑powered summaries help explain the key points in lengthy filings, so users can quickly see what each 8‑K, 10‑K or 10‑Q addresses without reading every page. Investors can also use this page to monitor registered securities, preferred stock disclosures and other regulatory information related to Morgan Stanley.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $81,769,100 of Trigger Callable Contingent Yield Notes linked to the least performing of the S&P 500, Russell 2000 and Nasdaq‑100 indices, maturing on October 25, 2028.
The notes pay a contingent coupon at a rate of 11.00% per annum, but only for quarters in which, on every Index Business Day, each index stays at or above its respective coupon barrier set at about 70% of its initial level. If any index closes below its barrier even once in a quarter, no coupon is paid for that entire period.
Beginning April 27, 2026, the notes are callable quarterly at the issuer’s option if a risk‑neutral valuation model shows it is economically rational to call. If called, investors receive principal plus the due coupon and the investment ends early.
If the notes are not called and, on the final valuation date, each index is at or above its downside threshold (about 60% of its initial level), investors receive full principal plus any final coupon. If any index is below its downside threshold, repayment is reduced in line with the percentage loss of the worst‑performing index, and investors can lose some or all of their principal. The notes are unsecured, subject to Morgan Stanley’s credit risk, not listed on an exchange, and may have limited or illiquid secondary trading.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Variable Income Memory Auto-Callable Notes linked to the worst performing of Bloom Energy, Robinhood Markets, Micron Technology and Marvell Technology shares. Each note has a $1,000 stated principal amount and is scheduled to mature on February 11, 2031, unless auto‑called earlier.
Investors receive a variable monthly coupon: a lower rate of 0.25% per annum if any stock is below its coupon barrier on an observation date, or a higher rate of 8.00% per annum if all are at or above their barriers, plus any unpaid 7.75% per annum conditional coupons. The notes are automatically redeemed if all stocks are at or above their call thresholds (100% of initial levels) on specified redemption determination dates, paying principal plus the higher coupon and any unpaid conditional coupons.
If never auto‑called, investors receive principal back at maturity plus the applicable final coupon, subject to Morgan Stanley’s credit risk. The notes are unsecured, will not be listed on an exchange, and have an estimated value on the pricing date of approximately $948.40 per note, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate. The issuer expects to treat the notes as contingent payment debt instruments for U.S. federal income tax purposes.
Morgan Stanley Finance LLC is offering $704,000 of Jump Notes with an auto-callable feature, in $1,000 denominations, fully guaranteed by Morgan Stanley. These five-year notes, maturing on January 24, 2031, are linked to the worst performer among the Dow Jones Industrial Average, Nasdaq-100 Index and S&P 500 Index. If on January 22, 2027 all three indexes are at or above their initial levels, the notes are automatically redeemed early for $1,090 per note.
If the notes are not called and on the final determination date all three indexes finish above their initial levels, holders receive $1,000 plus 100% of the gain of the worst-performing index. If any index is at or below its initial level at maturity, investors receive only the $1,000 principal, so there is no downside below par but upside is limited and based on the lowest return of the three indexes. The notes are not listed on any exchange, carry Morgan Stanley credit risk, and have an estimated value of $976.90 per $1,000 at pricing, reflecting embedded fees and funding costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk “Jump Securities” with an auto-call feature maturing on February 1, 2029. Each note has a $1,000 stated principal amount and pays no periodic interest.
The notes are linked to the worst performer of the S&P 500 Index, Nasdaq‑100 Index and Russell 2000 Index. Starting with the first determination date on February 4, 2027, the notes are automatically redeemed if all three indices are at or above their call thresholds (100% of initial levels), for an increasing cash amount that targets about 11.20% per annum (from $1,112 on the first call date up to $1,308 on the last).
If not called, maturity payment is $1,336 per note (a fixed positive return) if all final index levels are at or above their call thresholds, only the $1,000 principal if each index is at or above its downside threshold (70% of initial levels), and otherwise a loss of 1% of principal for each 1% decline in the worst-performing index, potentially down to zero. The estimated value on the pricing date is expected to be about $958.50 per note, the notes will not be listed on any exchange, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Chief Financial Officer Sharon Yeshaya reported a sale of common stock in the company. On January 20, 2026, Yeshaya sold 15,838 shares of Morgan Stanley common stock in an open-market transaction, reported with code “S” for a sale. The weighted average sale price was $185.7669 per share, with individual trades executed between $185.67 and $185.98 per share.
After this transaction, Yeshaya beneficially owned 135,304.336 shares of Morgan Stanley common stock in direct ownership. The filing notes that detailed price and size information for each individual trade in the reported price range is available upon request from Morgan Stanley, its security holders, or the SEC staff.
Morgan Stanley Chief Risk Officer Charles A. Smith reported selling common stock in a recent insider transaction. On January 20, 2026, he sold 8,500 shares of Morgan Stanley common stock at a weighted average price of $182.0807 per share. The filing notes that these shares were sold in multiple trades at prices ranging from $182.0401 to $182.1301.
After this sale, Smith reported owning 119,127.619 shares of Morgan Stanley common stock directly. He also reported an indirect holding of 5,494.73 shares through a 401(k) plan. The filing states that detailed trade-by-trade pricing information is available upon request from Morgan Stanley, its security holders, or the SEC staff.
Morgan Stanley Co-President Andrew M. Saperstein reported multiple open-market sales of the company’s common stock on January 20, 2026. The Form 4 shows several separate transactions, each coded "S" for sale, with block sizes ranging from 500 shares to 11,430 shares at reported weighted average prices such as $181.8518, $182.6338, $184.1265, $184.9381, $185.9112, and $186.5960 per share. After these transactions, Saperstein directly beneficially owned 280,480.994 Morgan Stanley common shares.
For each block, the filing notes that the reported price is a weighted average of multiple trades, with actual execution prices ranging from $181.34 to $186.65. The reporting person undertakes to provide full trade-by-trade details within these ranges to Morgan Stanley, its security holders, or the SEC staff upon request.
Morgan Stanley Head of Technology & Operations Michael A. Pizzi reported a sale of Morgan Stanley common stock. On January 20, 2026, he sold 20,000 shares of common stock at a price of $184.55 per share, according to the Form 4 filing. After this transaction, he beneficially owned 127,872.293 shares of Morgan Stanley common stock, held in direct ownership. The filing reflects this as a non-derivative transaction coded as a sale and shows no derivative securities activity.
Morgan Stanley director files amended insider trading report correcting prior gift details. The amended Form 4 now shows that on 01/20/2026 a bona fide gift of 542 shares of Morgan Stanley common stock was made at a reported price of $0, reflecting that this was a gift rather than an open-market sale. Following this transaction, the reporting person directly beneficially owns 11,845.004 shares of Morgan Stanley common stock. The amendment updates the previously filed report from 01/16/2026 to correct the transaction date, the number of shares transferred, and the post-transaction holdings.
Morgan Stanley Chief Legal/Admin Officer Eric F. Grossman reported two transactions in the company’s common stock dated January 20, 2026. He sold 21,555 shares at a weighted average price of $184.0008 per share, in multiple trades within a price range of $184.00 to $184.02. After this sale, he held 171,005.085 shares.
On the same date, Grossman also reported a transaction coded "G" for 2,495 shares of common stock at a reported price of $0, which reduced his holdings to 168,510.085 shares directly owned. He has committed to provide detailed trade breakdowns to Morgan Stanley, its security holders, or the SEC staff upon request.