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 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.
Morgan Stanley Co-President Andrew M. Saperstein reported two equity transactions dated January 16, 2026. He received 39,994.09 shares of common stock at a price of $0, reflecting the conversion of Restricted Stock Units granted in 2026 as part of his 2025 year-end compensation, with each unit convertible into one share of common stock. On the same date, 27,265 shares of common stock were withheld at $191.23 per share to satisfy taxes due on the conversion of Restricted Stock Units granted on January 18, 2023. Following these transactions, he directly owned 310,810.994 shares of Morgan Stanley common stock.
Morgan Stanley executive Michael A. Pizzi, Head of Technology & Operations, reported equity compensation changes. On January 16, 2026, he acquired 23,213.92 shares of common stock at $0 through restricted stock units granted in 2026 as part of 2025 year-end compensation, which convert into common stock on a 1-to-1 basis. On the same date, 12,218 shares were disposed of at $191.23 per share to cover taxes on restricted stock units granted on January 18, 2023. Following these transactions, he directly beneficially owned 147,872.293 shares of Morgan Stanley common stock.
Morgan Stanley Chief Legal/Admin Officer Eric F. Grossman reported equity compensation and related tax withholding transactions in company stock. On January 16, 2026, he acquired 36,965.47 shares of Common Stock at $0 per share through the vesting of Restricted Stock Units granted in 2026 as part of 2025 year-end compensation, which convert to common stock on a 1-for-1 basis.
On the same date, 20,893 shares of Common Stock at $191.23 per share were withheld to satisfy taxes upon conversion of Restricted Stock Units granted on January 18, 2023. Following these transactions, Grossman directly beneficially owns 204,325.59 shares of Morgan Stanley Common Stock. The share withholding is a tax-settlement mechanism rather than an open-market sale.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering market-linked, auto-callable principal-at-risk securities tied to the lowest performer of the Dow Jones Industrial Average, the Russell 2000 Index and the S&P 500 Equal Weight Index, maturing July 28, 2031. Each security has a $1,000 face amount, while the current estimated value on the pricing date is expected to be approximately $990.30 per security, reflecting issuing, selling, structuring and hedging costs and an internal funding rate.
Beginning January 28, 2027, the notes may be automatically called semi-annually if each index is at or above 90% of its starting level, paying at least $1,100 on the first calculation day and up to at least $1,550 if called on the final calculation day; investors do not participate in any additional index gains. If not called and any index finishes below 75% of its starting level, the maturity payment is reduced 1-for-1 with the worst index, so investors can lose more than 25% and potentially all principal. The notes pay no interest, are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on an exchange and may have limited or no secondary market liquidity.
Morgan Stanley Chief Client Officer Crawley Mandell reported two transactions in the company’s common stock. On January 16, 2026, Mandell acquired 18,171.69 shares at a price of $0, tied to restricted stock units granted in 2026 as part of 2025 year-end compensation, which are convertible into common stock on a 1-to-1 basis.
On the same date, 5,934 shares were disposed of at $191.23 per share to cover taxes due upon the conversion of restricted stock units granted on January 18, 2023. Following these transactions, Mandell directly beneficially owned 76,648.495 shares of Morgan Stanley common stock.
Morgan Stanley Chairman and CEO Edward Pick reported changes in his holdings of the company’s common stock. On January 16, 2026, 35,134 shares were disposed of at $191.23 per share in a transaction coded “F,” which the notes explain as shares withheld to cover taxes when previously granted restricted stock units vested.
On the same date, a separate transaction coded “G” shows the disposition of 8,149 shares at $0 per share, leaving Pick with 610,454.899 shares held directly. He also has 4,273.444 shares held indirectly through a 401(k) plan and 104,963 shares indirectly through a grantor retained annuity trust. The notes add that since his last report, 77,013 shares previously held indirectly by such a trust were transferred back to him as an annuity payment.