What SEC filings does Morgan Stanley submit to the SEC?

Morgan Stanley (MS) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about MS?

A Form 4 for MS discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Morgan Stanley?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for MS?

The 10-K is Morgan Stanley's annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all MS SEC filings directly on EDGAR?

You can view all historical Morgan Stanley filings on the SEC EDGAR company page for MS. Each filing card on this page links directly to the original SEC document.

How often does Morgan Stanley file with the SEC?

Morgan Stanley files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling MS shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

MS SEC Filing News — Morgan Stanley

Latest SEC filings for Morgan Stanley (MS) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-10-16.

Morgan Stanley, a financial holding company, provides various financial products and services to corporations, governments, financial institutions, and individuals in the Americas, Asia, Europe, the Middle East, and Africa. It operates through Institutional Securities, Wealth Management, and Investment Management segments. The company offers capital raising and financial advisory services, including services related to the underwriting of debt, equity securities, and other products, as well as a…

Sector: Financial Services Industry: Capital Markets Market Cap: $290.8B

Total Filings

Bullish Classifications

Bearish Classifications

Insider Transactions

Material Events (8-K)

Periodic Reports

Rule-based classifications for MS currently lean bearish. Of the 20 filing records displayed, 4 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.

MS Filing Activity Snapshot 2026-06-02 — 2026-10-16

Insider Transactions (Form 4)

0 buys vs 3 sells

Net insider selling in this period — insiders sell for many reasons beyond conviction.

Largest Form 144 Filing

$5.21M

MICHAEL A. PIZZI REVOCABLE TRUST · 2026-07-17

24,165 shares · Form 144

Form 144 Notices

Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.

Insider Transactions 11 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 11 filings in this group are Form 4s for Morgan Stanley.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 11 insider filings shown, the breakdown is 5 compensation award, 3 open-market sale, 2 disposition to issuer and 1 other reported transaction. 3 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Compensation award ×5: Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.
Open-market sale ×3: The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Disposition to issuer ×2: Shares were surrendered to or repurchased by the issuer rather than sold to other investors.
Other reported transaction ×1: The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Form 4 Disposition to issuer Tax / Compensation Filing 2026-09-24

MS insider Form 4 filed for equity award, exercise, or tax withholding

MITSUBISHI UFJ FINANCIAL GROUP INC (10% Owner) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were surrendered to or repurchased by the issuer rather than sold to other investors.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`D`	Disposition to issuer	1,340,519	$212.57	$284.95M

Filing: Form 4 (Insider Transaction) Insider: MITSUBISHI UFJ FINANCIAL GROUP INC (10% Owner) Shares: 1,340,519

View on SEC EDGAR → Open Filing Document →

Form 4 Other reported transaction Tax / Compensation Filing 2026-09-17

MS insider Form 4 filed for equity award, exercise, or tax withholding

MORGAN STANLEY (Insider) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

The filing reports a transaction type that does not map to a routine purchase, sale, award or withholding.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`J`	Other transaction	94	—	—

Filing: Form 4 (Insider Transaction) Insider: MORGAN STANLEY (Insider) Shares: 94

View on SEC EDGAR → Open Filing Document →

Form 4 Disposition to issuer Tax / Compensation Filing 2026-08-03

MS insider Form 4 filed for equity award, exercise, or tax withholding

Shares were surrendered to or repurchased by the issuer rather than sold to other investors.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`D`	Disposition to issuer	414,396	$213.28	$88.38M

Filing: Form 4 (Insider Transaction) Insider: MITSUBISHI UFJ FINANCIAL GROUP INC (10% Owner) Shares: 414,396

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-07-29

MS insider SCHAPIRO MARY L (Director) sold 1,000 shares (~$212.1K)

SCHAPIRO MARY L, listed as Director at MORGAN STANLEY, reported an open-market sale of 1,000 MS shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	1,000	$212.06	$212.1K
`G`	Gift	2,325	—	—

Filing: Form 4 (Insider Transaction) Insider: SCHAPIRO MARY L (Director) Shares: 1,000 Est. Value: $212.1K

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-07-17

MS insider YESHAYA SHARON (Chief Financial Officer) sold 15,554 shares (~$3.46M)

YESHAYA SHARON, listed as Chief Financial Officer at MORGAN STANLEY, reported an open-market sale of 15,554 MS shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	6,382	$222.51	$1.42M
`S`	Open-market sale	9,172	$222.51	$2.04M

Filing: Form 4 (Insider Transaction) Insider: YESHAYA SHARON (Chief Financial Officer) Shares: 15,554 Est. Value: $3.46M

View on SEC EDGAR → Open Filing Document →

Form 4 Open-market sale Insider Selling 2026-07-17

MS insider Pizzi Michael A. (Head Technology & Operations) sold 24,165 shares (~$5.21M)

Pizzi Michael A., listed as Head Technology & Operations at MORGAN STANLEY, reported an open-market sale of 24,165 MS shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`S`	Open-market sale	17,064	$215.00	$3.67M
`S`	Open-market sale	7,101	$216.88	$1.54M

Filing: Form 4 (Insider Transaction) Insider: Pizzi Michael A. (Head Technology & Operations) Shares: 24,165 Est. Value: $5.21M

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-06-02

MS insider Form 4 filed for equity award, exercise, or tax withholding

NALLY DENNIS M (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,309	—	—
`A`	Compensation award	345	$209.96	$72.4K

Filing: Form 4 (Insider Transaction) Insider: NALLY DENNIS M (Director) Shares: 1,654

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-06-02

MS insider Form 4 filed for equity award, exercise, or tax withholding

WILKINS RAYFORD JR (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,309	—	—

Filing: Form 4 (Insider Transaction) Insider: WILKINS RAYFORD JR (Director) Shares: 1,309

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-06-02

MS insider Form 4 filed for equity award, exercise, or tax withholding

BUTLER MEGAN (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,309	—	—
`F`	Tax withholding on vested shares	190	$209.96	$39.9K

Filing: Form 4 (Insider Transaction) Insider: BUTLER MEGAN (Director) Shares: 1,499

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-06-02

MS insider Form 4 filed for equity award, exercise, or tax withholding

James Erika H (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,309	—	—

Filing: Form 4 (Insider Transaction) Insider: James Erika H (Director) Shares: 1,309

View on SEC EDGAR → Open Filing Document →

Form 4 Compensation award Tax / Compensation Filing 2026-06-02

MS insider Form 4 filed for equity award, exercise, or tax withholding

GOOD LYNN J (Director) filed a Form 4 covering compensation-related activity such as stock awards, option exercises, conversions, or tax withholding. These filings are usually neutral.

Shares were granted as compensation rather than purchased. No cash changed hands, so the filing reflects a pay decision by the company, not a judgement about the price.

Transactions reported on this filing
Code	Nature	Shares	Price	Value
`A`	Compensation award	1,309	—	—
`A`	Compensation award	273	$209.96	$57.3K

Filing: Form 4 (Insider Transaction) Insider: GOOD LYNN J (Director) Shares: 1,582

View on SEC EDGAR → Open Filing Document →

Proposed Insider Sales 5 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Morgan Stanley has 5 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-10-16

MS Form 144 filed for proposed insider sale by MORGAN STANLEY SMITH BARNEY LLC (2,920 shares) ~$534.4K

MORGAN STANLEY SMITH BARNEY LLC filed a Form 144 with the SEC indicating intent to sell MS (MORGAN STANLEY) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: MORGAN STANLEY SMITH BARNEY LLC Shares: 2,920 Est. Value: $534.4K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-07-28

MS Form 144 filed for proposed insider sale by MARY L SCHAPIRO REV TRUST (1,000 shares) ~$212.1K

MARY L SCHAPIRO REV TRUST filed a Form 144 with the SEC indicating intent to sell MS (MORGAN STANLEY) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: MARY L SCHAPIRO REV TRUST Shares: 1,000 Est. Value: $212.1K

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-07-20

MS Form 144 filed for proposed insider sale by MORGAN STANLEY SMITH BARNEY LLC (4,040 shares) ~$869.0K

Filing: Form 144 (Proposed Sale Notice) Insider: MORGAN STANLEY SMITH BARNEY LLC Shares: 4,040 Est. Value: $869.0K

View on SEC EDGAR → Open Filing Document →

Form 144 Large Proposed Insider Sale 2026-07-17

MS Form 144 filed for proposed insider sale by MICHAEL A. PIZZI REVOCABLE TRUST (24,165 shares) ~$5.21M

MICHAEL A. PIZZI REVOCABLE TRUST filed a Form 144 with the SEC indicating intent to sell MS (MORGAN STANLEY) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4. The proposed dollar value is large enough to merit attention.

Filing: Form 144 (Proposed Sale Notice) Insider: MICHAEL A. PIZZI REVOCABLE TRUST Shares: 24,165 Est. Value: $5.21M

View on SEC EDGAR → Open Filing Document →

Form 144 Proposed Insider Sale 2026-07-16

MS Form 144 filed for proposed insider sale by SHARON YESHAYA (15,554 shares) ~$3.46M

SHARON YESHAYA filed a Form 144 with the SEC indicating intent to sell MS (MORGAN STANLEY) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: SHARON YESHAYA Shares: 15,554 Est. Value: $3.46M

View on SEC EDGAR → Open Filing Document →

Material Events 3 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 3 in this period for Morgan Stanley. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-10-14

MS filed 8-K — material company event

MORGAN STANLEY filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-07-15

MS filed 8-K — material company event

MORGAN STANLEY filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Form 8-K Material Company Update 2026-06-24

MS filed 8-K — material company event

MORGAN STANLEY filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)

View on SEC EDGAR → Open Filing Document →

Periodic Reports 1 · Forms 10-K and 10-Q

The periodic reports are where the audited and reviewed financial statements live. This period contains 1 quarterly report (10-Q) for Morgan Stanley.

The two are not equivalent in weight. A 10-K is audited by an external firm and includes the full risk factor disclosure, business description and management discussion; a 10-Q is unaudited, reviewed rather than examined, and much shorter. When a figure in a quarterly report is later revised, the annual report is usually where the correction appears.

An amended report — 10-K/A or 10-Q/A — restates or corrects something in the original filing, and is worth reading against the version it replaces.

Form 10-Q Quarterly Report 2026-08-04

MS filed Quarterly Report (10-Q)

MORGAN STANLEY filed its quarterly report with the SEC. This report includes unaudited financial statements and management discussion for the quarter.

Filing: 10-Q (Quarterly Report)

View on SEC EDGAR → Open Filing Document →

How we classify Morgan Stanley's filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on MS. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — MS SEC Filings

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MS Full Analysis

Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.

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