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.
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 offers $50,000,000 aggregate principal of fixed rate notes due August 4, 2027, with an interest rate of 4.25% per annum. The notes have an original issue date of June 4, 2026, an issue price of $1,000 per note, and pay interest at maturity.
The notes are unsecured obligations subject to Morgan Stanley's credit risk, will not be listed on any exchange, and are issued in $1,000 denominations. The prospectus supplement dated April 8, 2026 and related registration statement provide additional terms and tax information.
Morgan Stanley Finance LLC amends a preliminary pricing supplement for callable contingent income securities fully guaranteed by Morgan Stanley linked to the worst performing of the Russell 2000®, S&P 500® and the State Street® Consumer Staples Select Sector SPDR® ETF.
The securities have a stated principal amount of $1,000 per security, a contingent coupon of 9.35% per annum, a call feature based on a risk neutral valuation model beginning on the first redemption date of December 9, 2026, a final observation date of June 5, 2028 and maturity on June 8, 2028. Payment at maturity depends on the worst performing underlier and principal can be fully lost if the worst performing underlier falls below its 60% downside threshold.
Morgan Stanley Finance LLC priced contingent income auto-callable notes due June 3, 2033. The notes are unsecured obligations of MSFL, fully guaranteed by Morgan Stanley, issued at $1,000 per note with an aggregate principal amount of $1,011,000. They pay a contingent coupon of 8.05% per annum on each coupon payment date only if the closing level of each underlier (the worst-performing trigger applies) is at or above its 70% coupon barrier on the related observation date. The notes may be automatically redeemed early if, on a redemption determination date, the closing level of each underlier is at or above its call threshold (100% of initial level), with the first redemption determination date on June 4, 2027. If not redeemed early, maturity payment equals stated principal plus any contingent coupon for the final observation date. All payments are subject to issuer and guarantor credit risk; notes are not listed and secondary liquidity may be limited.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) priced an offering of principal-at-risk, market-linked securities due June 1, 2029 that are auto-callable and linked to the lower-performing of Eli Lilly (LLY) and Micron (MU) common stock. Each security has a face amount of $1,000, an estimated value on the pricing date of $919.20 and a participation rate of 200% for positive returns if not called.
The securities pay a fixed call payment of $1,400 (approx. 40% premium) if, on the call date, each underlying stock is at or above its call price. If not called, payoff at maturity depends on the performance of the lowest-performing underlying stock, includes a 40% buffer against declines, and can expose investors to losses up to 60% of face amount. The pricing date was May 29, 2026; starting prices were LLY $1,105.00 and MU $971.00. The offering includes underwriting commissions and issuer proceeds as shown in the final terms.
Morgan Stanley Finance LLC is offering market-linked notes due June 3, 2030, linked to the EURO STOXX 50® Index and fully guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per note, an aggregate principal amount of $378,000, an issue price of $1,000 per note and an estimated value on the pricing date of $967.00 per note. At maturity investors receive the stated principal plus an upside payment equal to the stated principal times a 107.75% participation rate times the underlier percent change if the final level exceeds the initial level of 6,050.54; otherwise investors receive the stated principal only. All payments are subject to the issuers and guarantors credit risk; the notes are unsecured, unlisted and do not pay interest.
Morgan Stanley Finance LLC is offering $ Buffered Digital Basket-Linked Notes due, fully guaranteed by Morgan Stanley, linked to a weighted basket of five international indices. Each note has a $1,000 Face Amount; final payment depends on the Basket Return measured from an Initial Basket Level of 100 to a Final Basket Level on a Determination Date expected between 35 and 38 months after the Trade Date. If the Final Basket Level is ≥100 you may receive at least a Threshold Settlement Amount (expected between $1,254.60 and $1,298.70). If the Final Basket Level declines by more than 10.00% (below the Buffer Level of 90), the Cash Settlement Amount declines pro rata (using a Buffer Rate of approximately 111.11%), and you could lose some or all of your principal. The notes pay no interest, are unsecured, not FDIC-insured, and all payments are subject to the issuer’s and guarantor’s credit risk. The estimated value on the Trade Date is approximately $960.50 per note.
NALLY DENNIS M reported acquisition or exercise transactions in this Form 4 filing.
Morgan Stanley director Dennis M. Nally reported two stock-based compensation awards of Common Stock. On June 1, 2026, he received 345.304 shares as restricted stock units priced at $209.9594 per share under the Morgan Stanley Directors' Equity Capital Accumulation Plan.
He also received 1,309.777 deferred stock units under the same directors' plan in lieu of cash retainers. Both the restricted stock units and deferred stock units are convertible into shares of Common Stock on a 1-to-1 basis, reflecting routine equity compensation rather than open-market buying or selling.
WILKINS RAYFORD JR reported acquisition or exercise transactions in this Form 4 filing.
Morgan Stanley director Rayford Wilkins Jr received an equity award of 1,309.777 restricted stock units, which are convertible into Common Stock on a 1-to-1 basis under the Morgan Stanley Directors' Equity Capital Accumulation Plan. The award was granted at $0.00 per share as compensation rather than an open-market purchase.
Following this grant, Wilkins directly holds 78,268.886 shares of Morgan Stanley Common Stock. No derivative option positions are reported in this filing, so the change reflects an increase in his direct equity stake through stock-based compensation.
Morgan Stanley director Megan Butler reported routine equity compensation activity. She received a grant of 1,309.777 shares of Common Stock in the form of restricted stock units under the Morgan Stanley Directors' Equity Capital Accumulation Plan, at no cash cost. To cover taxes upon conversion of these stock units into shares, 190 shares were withheld at a price of $209.9594 per share, a tax-withholding disposition rather than an open-market sale. After these transactions, Butler directly holds 5,829.147 shares of Morgan Stanley common stock.
Morgan Stanley director Erika H. James received a grant of 1,309.777 restricted stock units under the Morgan Stanley Directors' Equity Capital Accumulation Plan. These units convert into Common Stock on a 1-for-1 basis and increase her direct holdings to 13,252.773 shares, reflecting equity-based compensation rather than an open-market purchase.