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 director Lynn J. Good received stock-based compensation awards in the form of common stock and stock units. On 2026-06-01, she acquired 273.862 shares of common stock at $209.9594 per share and 1,309.777 additional shares at no cash cost to her.
Footnotes explain these are restricted stock units and deferred stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, each convertible into common stock on a 1-to-1 basis. These awards are compensation-related grants, not open-market share purchases.
Morgan Stanley director Perry M. Traquina reported receiving stock-based compensation rather than trading shares in the market. On 2026-06-01, Traquina acquired 369.119 shares of Morgan Stanley common stock at $209.9594 per share as a grant.
A separate award of 1,309.777 deferred stock units was also reported at a price of $0.00, reflecting units granted in lieu of cash retainers for board service. Footnotes explain these are restricted and deferred stock units under the Morgan Stanley Directors' Equity Capital Accumulation Plan, each convertible into one share of common stock.
The filing characterizes both entries as grants or awards, not open-market purchases or sales, and shows Traquina holding 90,963.319 shares of common stock directly following one of the reported transactions.
Morgan Stanley director Douglas L. Peterson reported two equity awards of Common Stock. On June 1, 2026, he acquired 273.862 shares at a grant value of $209.9594 per share, plus 1,309.777 deferred stock units granted in lieu of cash retainers, both under the Morgan Stanley Directors' Equity Capital Accumulation Plan.
Miscik Judith A reported acquisition or exercise transactions in this Form 4 filing.
Morgan Stanley director Judith A. Miscik received a grant of 1,309.777 shares of Common Stock on June 1, 2026 as part of her director compensation. The award is in the form of restricted stock units under the Morgan Stanley Directors' Equity Capital Accumulation Plan, convertible into Common Stock on a 1-to-1 basis.
Following this grant, she directly holds a total of 66,494.080 shares of Morgan Stanley Common Stock. This filing reflects a compensation-related equity award rather than an open-market purchase or sale.
Morgan Stanley director Robert H. Herz reported an award of 1,309.777 shares of Common Stock on the company’s Form 4. The award was made at a stated price of $0.00 per share as a compensation-related grant rather than an open-market purchase.
The filing shows his directly held Common Stock position increasing to 102,562.562 shares following this transaction. A footnote explains that the grant consists of restricted stock units issued under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which convert into Common Stock on a 1-for-1 basis.
Leibowitz Shelley B reported acquisition or exercise transactions in this Form 4 filing.
Morgan Stanley director Shelley B. Leibowitz received an equity award of 1,309.777 shares of Common Stock. This was a grant with no cash price per share, bringing her direct holdings to 48,369.693 shares after the transaction. The award consists of restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into Common Stock on a one-for-one basis.
Morgan Stanley director Thomas H. Glocer received equity awards in the form of company stock. On June 1, 2026, he acquired 512.004 shares of Common Stock at an indicated value of $209.9594 per share and 1,309.777 additional shares at no stated price.
These awards relate to restricted and deferred stock units under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into Common Stock on a 1-to-1 basis. Following the transactions, he directly holds 124,549.792 shares of Morgan Stanley Common Stock.
Morgan Stanley director Mary L. Schapiro received an equity award of 1,309.777 shares of Common Stock on June 1, 2026. The award consists of restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which convert into Common Stock on a 1-to-1 basis.
These shares were granted as compensation at no cash cost per share. Following this award, Schapiro directly holds a total of 41,842.588 shares of Morgan Stanley Common Stock. The filing does not report any open-market purchases or sales, only this grant/award acquisition.
Morgan Stanley Finance LLC priced Principal at Risk Dual Directional Buffered Participation Securities with a stated principal amount of $1,000 per security and an aggregate principal amount of $2,656,000. The securities reference the Nasdaq-100, Russell 2000 and S&P 500 and pay at maturity based on the worst performing underlier.
Key economics: 100% upside participation subject to a $1,125 maximum payoff (112.50% of principal), a 20% buffer (buffer level = 80% of initial level) and a 20% minimum payment at maturity. If the worst performing underlier falls below the buffer, investors lose 1% for each 1% decline beyond the buffer. All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley priced a series of fixed rate notes due July 6, 2027 with a stated interest rate of 4.21% per annum. The stated principal and issue price are $1,000 per note, with an original issue date of June 4, 2026. The preliminary pricing supplement estimates each note's value at approximately $997.10. All payments are subject to the credit risk of Morgan Stanley, the notes will not be listed on an exchange, and proceeds are for general corporate purposes.