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 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.
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.