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 amended a pricing supplement for its Dual Directional Buffered Jump Securities linked to the S&P 500 Index, due September 24, 2029. The notes are unsecured, pay no interest, and are fully and unconditionally guaranteed by Morgan Stanley.
The payoff is path-independent and set on the September 19, 2029 observation date. If the final index level is at or above the initial level of 6,664.36, investors receive principal plus a fixed upside payment of $255 (25.50%). If the index declines but stays at or above the buffer level of 5,331.488 (80%), investors earn a positive return equal to the absolute decline times the 300% participation rate, effectively capped at a 60% gain. Below the buffer, losses match the decline beyond 20%, with a minimum payment at maturity of 20% of principal.
The issue price is $1,000 per security, aggregate principal $1,625,000, and estimated value on pricing date is $979.00 per security. Agent’s fees are $7.50 per security, with proceeds to the issuer of $1,612,812.50. The notes will not be listed and all payments are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC priced a Rule 424(b)(2) structured note offering: Buffered Jump Securities with auto-call linked to Oracle Corporation common stock, fully and unconditionally guaranteed by Morgan Stanley. The notes are principal-at-risk, pay no interest, and may redeem early if Oracle’s closing level is at or above the call threshold.
Key terms: issue price $1,000 per security; aggregate principal amount $500,000; estimated value on pricing date $964.40 per security; scheduled early redemption payments correspond to ~13.00% per annum (e.g., $1,032.50 on the first call date, rising to $1,162.50 before maturity). Initial level $275.30; call threshold level $275.30 (100%); buffer level $192.71 (70%); buffer amount 30%; minimum payment at maturity 30% of principal.
If not redeemed and the final level is ≥ the call threshold, maturity pays $1,195.00 per security. If the final level is below the call threshold but ≥ the buffer level, investors receive principal only. Below the buffer, losses match the decline beyond 30%. Agent commissions are $18.75 per security; total proceeds to the issuer are $490,625. The notes are unsecured and subject to the credit risk of MSFL and Morgan Stanley, and will not be listed.
Morgan Stanley Finance LLC is offering Market Linked Securities that are auto-callable with a contingent coupon and downside exposure, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a 13.15% per annum contingent coupon, due monthly only if the lowest-performing of Citigroup, Costco, FedEx, and Netflix closes at or above its 70% coupon threshold on the applicable calculation day. The notes mature on August 19, 2030, unless called after an initial ~6‑month non‑call period when each stock is at or above its starting price.
The price to the public is $1,000 per security, with agent commissions of up to $28.25 and proceeds to the issuer of $971.75 per security (total offering $956,000; commissions $27,007; proceeds $928,993). The current estimated value is $946.60 per security, reflecting issuance and hedging costs and Morgan Stanley’s internal funding rate.
If not called, repayment at maturity is $1,000 only if each stock is at or above its 50% downside threshold; otherwise, principal is reduced 1‑for‑1 with the worst performer. Investors do not receive dividends or participate in stock appreciation, and all payments are subject to Morgan Stanley’s credit risk. The securities will not be listed on any exchange.
Morgan Stanley Finance LLC priced a structured note offering of Buffered PLUS due November 5, 2030, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of the Dow Jones Industrial Average and the S&P 500 Index, pay no interest, and put principal at risk.
Key terms include a $1,000 issue price per security, $908,000 aggregate principal amount, a 150% leverage factor on upside, and a maximum payment at maturity of $1,600 per security. A 20% buffer applies; below the buffer, investors lose 1% of principal for each 1% additional decline of the worst performer, subject to a minimum payment at maturity equal to 20% of principal. Initial levels were set on October 31, 2025 (INDU 47,562.87; SPX 6,840.20), with observation on October 31, 2030.
The estimated value on the pricing date is $965.20 per security. Commissions and fees total $7.50 per security, with $992.50 per security in proceeds to the issuer; sales are to fee-based advisory accounts. The securities will not be listed; secondary market making by MS&Co. is not assured and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced a 424(b)(2) offering of NVIDIA-linked “Jump Notes,” fully and unconditionally guaranteed by Morgan Stanley, totaling $582,000 in aggregate principal amount at $1,000 per note. The notes pay no interest and mature on November 3, 2028. At maturity, if NVIDIA’s final level is greater than or equal to the initial level, holders receive principal plus a fixed $235 upside payment (23.50% of principal). If the final level is lower, holders receive only the $1,000 principal.
The initial level is $202.49 (NVIDIA’s closing level on October 31, 2025), with the observation date on October 31, 2028. The estimated value on the pricing date is $979.50 per note. The notes are unsecured obligations of MSFL, guaranteed by Morgan Stanley, will not be listed on any exchange, and are intended for fee-based advisory accounts with no sales commissions. Secondary market liquidity may be limited, and all payments are subject to the issuers’ credit risk.
Morgan Stanley Finance LLC filed a 424(b)(2) preliminary pricing supplement for principal-at-risk, market-linked securities tied to the lowest-performing of Alphabet (GOOGL), Meta (META) and Microsoft (MSFT), due November 17, 2028, fully and unconditionally guaranteed by Morgan Stanley.
Each $1,000 security has an estimated value of approximately $957.50 (within $45 of that estimate). Per the fee table, agent commissions are up to $25.75 per security, with $974.25 per security in proceeds to the issuer. The notes feature an auto‑call on November 19, 2026 if every stock closes at or above its starting price, paying at least $1,483.50 per $1,000 face amount; no further payments occur after a call.
If not called, maturity pays: 250% participation on the lowest performer when its ending price is above its start; a contingent absolute return when it is between its start and a 70% threshold; or full downside exposure below the threshold, risking significant loss of principal. The securities pay no interest, forgo dividends, and will not be listed. Agents are MS&Co. and WFS.
Morgan Stanley (MS): Schedule 13D/A (Amendment No. 21) filed by Mitsubishi UFJ Financial Group, Inc. (MUFG). MUFG reports beneficial ownership of 380,010,887 shares of Morgan Stanley common stock, representing 23.91% of the class. The filing date of the event is November 3, 2025, with share counts measured as of October 29, 2025.
The percentage is based on 1,589,309,311 shares outstanding as of October 31, 2025, as reported by Morgan Stanley. MUFG’s total includes 2,925,720 “Managed Shares” held by certain affiliates in a fiduciary capacity; MUFG disclaims beneficial ownership of these Managed Shares. MUFG indicates sole voting and sole dispositive power and no shared voting or dispositive power. The amendment also updates background details on MUFG and references historical agreements and amendments between MUFG and Morgan Stanley.
Morgan Stanley posted strong third-quarter 2025 results, with net revenues of $18.2 billion and net income of $4.6 billion, up 18% and 45% from a year earlier. Diluted EPS rose 49% to $2.80, while return on equity reached 18.0% and ROTCE was 23.5%.
All three business segments contributed: Institutional Securities revenues climbed 25% to $8.5 billion on stronger Equity trading and a rebound in Investment Banking; Wealth Management revenues grew 13% to $8.2 billion with a 30.3% pre-tax margin and $81 billion of net new assets; Investment Management revenues increased 13% to $1.7 billion.
For the first nine months of 2025, net revenues were $52.8 billion, up 16%, and net income was $12.5 billion, up 29%. The firm reported a Standardized CET1 capital ratio of 15.1% and a supplementary leverage ratio of 5.5%, alongside average liquidity resources of $368.1 billion.
Morgan Stanley Finance LLC announced a preliminary pricing supplement for Trigger PLUS, principal-at-risk notes due November 30, 2028, linked to the worst performer among the S&P 500, Nasdaq-100 Technology Sector Index and Russell 2000. The notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, holders receive the $1,000 stated principal plus a leveraged upside if each index ends above its initial level; the leverage factor will be set in a 167%–177% range. If any index finishes at or below its initial level but all remain at or above 70% of initial, repayment is at par. If any index ends below its 70% downside threshold, repayment falls 1% for each 1% decline in the worst-performing index, and could be zero. The estimated value on the pricing date is approximately $962.40 per note. The notes won’t be listed; sales are through fee-based accounts, with a structuring fee up to $6.25 per note. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley (MS) filed a Form 4 for its Co‑President reporting a bona fide gift of common stock. On 10/29/2025, the insider disposed of 10,000 shares of Common Stock at $0 per share under transaction code G (gift).
Following the transaction, the insider beneficially owns 383,757.251 shares directly. In addition, 1,784.419 shares are held indirectly by a 401(k) Plan. This filing reflects a transfer by gift rather than an open-market sale.