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 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.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering 5‑year Trigger Absolute Return Step Securities linked to a weighted basket of five international equity indices. Each Security has a $10 issue price, with an estimated value on the trade date of about $9.397 per Security.
If the final basket level is at or above 100% of the initial basket level, investors receive $10 plus the greater of a 36.00%–40.00% Step Return or the actual basket return. If the final basket level is below this Step Barrier but at or above 75% of the initial basket level, investors receive $10 plus the absolute value of the basket return. If the final basket level falls below 75%, principal is reduced in line with the negative basket return, and investors can lose all of their investment.
The Securities pay no interest, do not provide dividends from the underlying indices, involve issuer credit risk, and are not listed, so liquidity may be limited. The product is intended only for investors who fully understand the payoff structure and can tolerate substantial principal risk to maturity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering 10-year Trigger GEARS linked to the EURO STOXX 50® Index maturing on January 30, 2036. Each Security has a $10 issue price and no interest or dividends.
If the index return at maturity is positive, investors receive $10 plus the index gain multiplied by an Upside Gearing between 1.80 and 1.955, set on the trade date. If the index return is zero, or negative but the final level is at least 65% of the initial level, investors receive only the $10 principal.
If the final index level is below 65% of the initial level, principal is fully exposed to losses, with repayment equal to $10 plus $10 times the negative index return, so all principal can be lost. The Securities will not be listed, may have limited liquidity, and all payments depend on Morgan Stanley’s credit. The estimated value on the trade date is about $8.759 per $10 Security, reflecting issuer costs and funding spreads.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk callable contingent income securities maturing on January 31, 2029. The notes are linked to the worst performer of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index.
Investors may receive a 10.40% annual contingent coupon, paid on scheduled dates only if the closing level of each index is at or above 70% of its initial level on the related observation date. If any index is below its coupon barrier, no coupon is paid for that period.
Starting on April 30, 2026, the notes are callable in whole at the issuer’s option on specified dates, based on a risk neutral valuation model, for principal plus any due coupon. If not redeemed early, and each index finishes at or above 60% of its initial level, investors receive principal back (plus any final coupon). If any index ends below 60%, repayment is reduced 1% for each 1% decline of the worst performer, up to a total loss of principal. All payments depend on Morgan Stanley’s credit and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering 5-year Trigger Step Securities linked to the EURO STOXX 50® Index. Each Security has a $10 issue price and offers a fixed "Step Return" of between 47.60% and 51.60%, if at maturity the index’s Final Level is at or above the Step Barrier, set at 100% of the Initial Level. In that case, investors receive $10 plus $10 times the greater of the Step Return or the actual index return.
If the Final Level is below the Step Barrier but at or above the Downside Threshold of 75% of the Initial Level, investors simply receive back their $10 principal per Security. If the Final Level falls below the Downside Threshold, repayment is $10 plus $10 times the Underlying Return, exposing investors to the full downside and potentially a total loss of principal. The Securities pay no interest or dividends, are unsecured, not listed on an exchange, and carry Morgan Stanley credit risk. The estimated value on the Trade Date is approximately $9.397 per $10 Security, reflecting embedded costs and an internal funding rate.
Morgan Stanley Finance LLC is offering principal-at-risk contingent income auto-callable securities due January 26, 2029, linked to the worst performer of the Russell 2000® Index and the State Street® SPDR® S&P® Regional Banking ETF. Each security has a $1,000 stated principal amount and pays a 10.00% per annum contingent coupon only when both underliers close at or above their coupon barrier levels on the relevant observation date.
The notes can be automatically redeemed on scheduled redemption determination dates if both underliers are at or above their call thresholds, returning the stated principal plus the applicable coupon, with no further payments. If not redeemed early, investors receive principal at maturity only if both final underlier levels are at or above their downside thresholds; otherwise, the payoff is reduced 1% for every 1% decline in the worst performer and can fall to zero. The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value of approximately $966.60 per security on the pricing date and no stock-market upside participation.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent income auto-callable securities linked to the common stock of Broadcom Inc. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley.
Investors may receive a contingent coupon at an annual rate of 11.40%, but only if Broadcom’s closing level on the relevant observation date is at or above a coupon barrier set at 50% of the initial level. The notes can be automatically redeemed on scheduled redemption determination dates if Broadcom’s stock is at or above 100% of the initial level, in which case holders receive principal plus the applicable coupon and no further payments.
If the notes are not called and, on the final observation date, Broadcom’s stock is at or above the 50% downside threshold, investors receive principal back (plus any final coupon). If it is below that threshold, repayment is reduced 1% for every 1% decline in the stock, up to a total loss of principal. The estimated value on the pricing date is approximately $966.60 per $1,000 security, reflecting issuance, selling, structuring and hedging costs, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering 5-year Trigger Step Securities linked to the least performing of the S&P 500 Index and the Dow Jones Industrial Average, maturing on January 30, 2031. Each unsecured note has a $10 issue price and exposes investors to both equity index performance and Morgan Stanley credit risk.
If, on the final valuation date, the level of each index is at or above its Step Barrier (100% of its initial level), investors receive $10 plus the greater of a fixed Step Return of 47.40%–51.40% (set on the trade date) or the actual gain of the worst-performing index. If either index finishes below its Step Barrier but at or above its Downside Threshold (75% of its initial level), investors receive only their $10 principal back.
If either index closes below its Downside Threshold, repayment is fully exposed to the loss of the least performing index, so investors can lose a significant portion or all of their principal. The securities pay no interest or dividends, are not listed on an exchange, and the estimated value on the trade date is approximately $9.785 per $10 note, reflecting issuing, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Contingent Income Auto-Callable Securities linked to the worst performer of the Nasdaq-100 Index, the Russell 2000 Index and the VanEck Semiconductor ETF. The notes pay a 9.80% annual contingent coupon only when all three underliers close at or above their coupon barrier (70% of initial level) on each observation date.
The securities may be automatically redeemed quarterly starting July 2026 if all underliers are at or above their call thresholds (100% of initial levels), paying back principal plus the relevant coupon. If held to January 2031 and not called, investors receive principal only if every underlier finishes at or above its downside threshold (70% of initial level; worst-of structure). Otherwise, repayment is reduced 1% for each 1% decline in the worst underlier and can be zero. The notes are unsecured, subject to Morgan Stanley’s credit risk, and have an estimated value of about $943.60 per $1,000 issue price.