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 Finance LLC is offering market-linked notes that pay no interest and return principal at maturity, with performance tied to the S&P 500® Futures Excess Return Index. At the January 31, 2031 maturity, investors receive the $1,000 stated principal amount per note plus an upside payment if the index final level is above its initial level; otherwise they receive only the stated principal amount.
The upside payment equals the stated principal amount multiplied by a 113% participation rate times the index percent gain, giving leveraged exposure to any appreciation. The notes 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. They will not be listed on any securities exchange, may have limited secondary liquidity and an estimated value on the pricing date below the $1,000 issue price due to structuring, selling and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC is offering Buffered PLUS, a type of principal-at-risk structured note fully and unconditionally guaranteed by Morgan Stanley, linked to the S&P 500® Futures Excess Return Index. The notes pay no interest and return at maturity depends entirely on index performance on a single observation date in January 2031.
If the index finishes above its initial level, investors receive principal plus a leveraged upside payment based on a 155% leverage factor20% below the initial level, investors receive only their principal back. If the index falls more than 20%, principal is reduced 1% for each additional 1% decline, with a minimum payment of 20% of principal. The estimated value on the pricing date is expected to be approximately $933.50 per $1,000, reflecting embedded fees and an internal funding rate, and the notes will not be listed on any exchange, with liquidity relying on Morgan Stanley & Co. as a potential, but not obligated, market maker. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering jump securities with an auto-callable feature maturing on February 1, 2029, linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index. Each note has a $1,000 principal amount and does not pay interest or guarantee return of principal.
The notes are automatically redeemed on February 10, 2027 for $1,205 per security if on February 5, 2027 each index closes at or above its initial level. If not called, at maturity investors receive $1,000 plus 175% of the gain of the worst performing index if all three finish above their initial levels, only $1,000 if any are at or below initial but all stay at or above 70% of initial, and a loss of 1% of principal for each 1% decline of the worst index below that 70% threshold, potentially reducing the payoff to zero.
The securities are unsecured and subject to the credit risk of Morgan Stanley and MSFL, are not listed on any exchange, and may have limited liquidity. The estimated value on the pricing date is approximately $954.50 per $1,000 note due to internal funding rates and embedded issuing, selling, structuring and hedging costs. The U.S. federal income tax treatment is uncertain and the issuer expects to treat the notes as prepaid financial contracts.
Morgan Stanley is offering three euro-denominated senior notes under its Global Medium-Term Notes, Series J: floating rate notes due 2029 and fixed/floating rate notes due 2032 and 2037. The 2032 and 2037 notes pay a fixed annual rate until one year before maturity, then switch to a floating rate based on three‑month EURIBOR plus a spread. All notes are redeemable at 100% of principal plus accrued interest, with make‑whole call features on the 2032 and 2037 tranches and additional issuer call dates close to maturity, creating early redemption risk for investors.
Application will be made to list the notes on the London Stock Exchange’s Main Market, and minimum denominations are €100,000. Sales are restricted to professional and eligible counterparties in the EEA and United Kingdom, with no PRIIPs KID prepared for retail investors. For U.S. tax purposes, counsel expects the notes to be treated as euro‑denominated variable rate debt instruments with potentially complex original issue discount calculations. Morgan Stanley & Co. International plc, an affiliate of the issuer, acts as premium calculation agent and as lead manager, giving rise to conflicts of interest that are addressed through regulatory procedures.
Morgan Stanley Finance LLC is offering auto-callable, principal-at-risk market-linked securities tied to the worst-performing of the S&P 500, Russell 2000 and EURO STOXX 50, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 face amount and may be automatically called monthly starting February 2027 if all three indices are at or above their starting levels, paying a fixed call amount beginning at least $1,140 (a 14% premium) and rising on later dates up to at least $1,420 (a 42% premium) by the final calculation day.
If the notes are not called and any index finishes below 75% of its starting level, holders receive $1,000 multiplied by the worst index’s performance, which can mean losing more than 25% and potentially all principal. The notes pay no interest, do not participate in any index appreciation beyond the fixed call premiums, and are subject to Morgan Stanley’s credit risk. They are sold at $1,000 but have an estimated value of about $962.90 per note, will not be listed on an exchange and may have limited secondary liquidity.
Morgan Stanley director James Erika H reported a change in direct ownership of the company’s common stock. On January 16, 2026, a transaction coded "G" involved the transfer of 522 shares of common stock at a price of $0.00 per share. Following this transaction, James Erika H directly beneficially owned 11,865.004 shares of Morgan Stanley common stock.
Morgan Stanley Chief Accounting Officer Victoria Worster reported routine equity compensation and related tax withholding. On January 16, 2026, she acquired 4,724.69 shares of Morgan Stanley common stock at $0 per share, reflecting the conversion of Restricted Stock Units granted in 2026 as part of 2025 year-end compensation on a 1-to-1 basis. On the same date, 320 shares were disposed of at $191.23 per share, with the shares withheld to satisfy tax obligations tied to earlier RSU grants from January 20, 2022 and January 18, 2023. After these transactions, Worster directly owned 13,165.358 shares of Morgan Stanley common stock.
Morgan Stanley Chief Financial Officer Yeshaya Sharon reported two equity transactions in the company’s common stock dated January 16, 2026. First, 36,965.47 shares were acquired at a price of $0, reflecting the conversion of restricted stock units granted in 2026 as part of 2025 year-end compensation, on a one-for-one basis into common stock. Second, 16,159 shares were disposed of at $191.23 per share, representing shares withheld to satisfy taxes due on the conversion of restricted stock units granted on January 18, 2023. After these transactions, Sharon directly owned 151,142.336 shares of Morgan Stanley common stock.
Morgan Stanley Chief Risk Officer Charles A. Smith reported equity compensation and related tax withholding transactions in company common stock. On January 16, 2026, he acquired 24,589.08 shares of Common Stock at $0 under transaction code A, reflecting the conversion of Restricted Stock Units granted in 2026 as part of 2025 year-end compensation, which convert to common stock on a 1-to-1 basis. After this grant, he held 145,012.04 shares directly.
On the same date, under transaction code F, 17,401 shares of Common Stock at $191.23 were withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2023, leaving him with 127,611.04 directly held shares. In addition, he had 5,494.73 shares held indirectly through a 401(k) plan.
Morgan Stanley Co-President Daniel A. Simkowitz reported equity compensation activity in Morgan Stanley common stock. On January 16, 2026, he acquired 39,994.09 shares at $0 per share through the conversion of Restricted Stock Units granted in 2026 as part of 2025 year-end compensation, with each unit convertible into one share of common stock. On the same date, 35,435 shares were disposed of at $191.23 per share, withheld to satisfy taxes upon the conversion of Restricted Stock Units granted on January 18, 2023. After these transactions, he directly beneficially owned 390,310.406 shares of common stock and indirectly held 1,794.818 shares through a 401(k) plan.