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 offers principal-at-risk notes due February 25, 2028 linked to the worst performing of the iShares Expanded Tech-Software ETF (IGV) and the State Street Technology Select Sector SPDR ETF (XLK). The notes pay a 9.70% fixed coupon monthly and have a stated principal of $1,000 per security. If the final level of either underlier is below its downside threshold (60% of its initial level), principal at maturity is reduced pro rata to the performance factor of the worst performing underlier and could be zero. All payments are unsecured and subject to Morgan Stanley Finance LLC and Morgan Stanley credit risk. The document lists an estimated value on the pricing date of approximately $989.10 per security.
Morgan Stanley Finance LLC priced Auto-Callable Dual Directional Buffered PLUS notes linked to the Tokyo Stock Price Index (TOPIX) with an aggregate principal amount of $10,671,000 and a stated principal of $1,000 per security. The notes (issued December 3, 2025) pay no periodic interest, carry a 10% buffer and a minimum payment at maturity of $100 per security; investors may lose up to 90% of principal. The notes are automatically redeemed for $1,109.50 per security if TOPIX on the first determination date (December 7, 2026) is at or above the initial index value. At final maturity (December 2, 2027), payouts depend on index performance, including a 150% upside participation if the final index value is at or above the initial index value. All payments are subject to MSFL's and Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced principal-at-risk, auto-callable securities linked to Oklo Inc. stock with a face amount of $1,000 per security and an estimated value of approximately $949.70 on the pricing date. The notes pay contingent monthly coupons (with memory) at a contingent coupon rate to be set on the pricing date of at least 41.00% per annum, are auto-callable beginning after a six-month non-call period, and mature on April 26, 2027 unless called earlier. Coupon payments occur only if the stock closing price on each monthly calculation day is at or above the coupon threshold price (equal to 60% of the starting price). If not called, principal at maturity depends on the ending price relative to the downside threshold (also 60% of the starting price), exposing holders to more than 40% downside and possible total loss if the ending price is below that threshold. All payments are subject to issuer credit risk; estimated value excludes issuance and hedging costs borne by investors.
Morgan Stanley (MS) submitted a Form 144 notice reporting proposed sales of common stock through Morgan Stanley & Co. LLC. The filing lists 2,775 shares to be sold on 04/09/2026 for cash; it also records 3,080 shares sold on 01/20/2026.
The broker of record for the 04/09/2026 entry is Morgan Stanley & Co. LLC. Dollar figures shown in the excerpt include $531,204.38 and $570,311.46, each paired with specific rows in the filing excerpt.
Morgan Stanley Chief Legal/Admin Officer Eric F. Grossman reported selling 11,118 shares of Common Stock in open-market transactions. The sales occurred on April 20, 2026 in two equal blocks of 5,559 shares at prices of $191.50 and $190.00 per share. After these trades, he continues to hold well over 160,000 Morgan Stanley shares directly, indicating the transactions represent a relatively small portion of his overall stake.
Morgan Stanley (MS) submitted a Rule 144 notice listing 11,118 shares of Common Stock tied to an Employee stock unit award(s) dated 03/12/2026. The filing also records prior sales of 21,555 shares on 01/20/2026 with an aggregate amount shown as $3,966,120.00.
Morgan Stanley Finance LLC priced an auto-callable, principal-at-risk market-linked note fully guaranteed by Morgan Stanley with an aggregate face amount of $2,500,000. The securities have a face amount of $1,000 per security, a pricing date of April 16, 2026, original issue date April 21, 2026, and maturity on April 21, 2032. The notes are linked to the lowest-performing of the Dow Jones Industrial Average, the Russell 2000® Index and the S&P 500® Equal Weight Index, carry semi-annual automatic call tests beginning April 21, 2027, and expose holders to downside on the lowest performing underlying at maturity (full loss possible if decline exceeds the threshold).
Morgan Stanley Finance LLC priced principal‑at‑risk, auto‑callable securities linked to the worst performing of the Dow Jones Industrial, S&P 500 and Russell 2000. Each note has a $1,000 stated principal amount and an original issue price of $1,000; aggregate issuance is $752,000. The securities may automatically redeem on specified determination dates beginning April 26, 2027 for fixed early redemption payments (first: $1,115.00), or pay a structured maturity amount on April 21, 2031 (up to $1,575.00 if all call thresholds are met). If the worst performing underlier falls below its downside threshold (75% of initial level), investors suffer a pro rata loss tied to that worst performing underlier. All payments are unsecured and subject to Morgan Stanley's credit risk. Estimated value on the pricing date was $952.80 per security.
Morgan Stanley Finance LLC priced an offering of structured, variable‑coupon Auto‑Callable Notes due April 21, 2031, fully and unconditionally guaranteed by Morgan Stanley. The offering is for $1,050,000 aggregate principal at a $1,000 issue price per note; estimated value on the pricing date was $938.00 per note. Each $1,000 note pays a variable coupon of either 9.35% (higher) or 0.25% (lower) per annum depending on quarterly observation dates tied to four underliers: Amazon (AMZN), Palantir (PLTR), Micron (MU) and Tesla (TSLA). Notes are automatically redeemed early if, on a redemption determination date (first: April 16, 2027), every underlier is at or above its 90% call threshold; maturity payment returns principal if not called. All payments are subject to issuer credit risk and the notes are not exchange listed.
Morgan Stanley Finance LLC is offering Principal at Risk Structured Securities linked to the S&P 500® Index, issued at $1,000 per security with an aggregate principal amount of $1,560,000. The securities mature on April 21, 2031 and are fully guaranteed by Morgan Stanley.
Key economic terms: participation rate 100%, buffer 20% (buffer level 5,633.024 based on initial level 7,041.28), maximum payment $1,585 per security (158.50%), and a minimum payment 20% of principal. Estimated value on the pricing date was $947.60 and the agent received a fixed commission of $36.25 per security. The securities pay no interest and expose investors to issuer credit risk and potential principal loss if the underlier falls below the buffer.