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.
An affiliate associated with Morgan Stanley (MS) filed a notice to sell common stock under Rule 144. The planned transaction covers up to 4,040 shares of common stock, with an aggregate market value of $869,044.40, to be sold for cash on or after July 20, 2026 on the NYSE. The filing also lists a prior sale during the past three months of 2,775 shares of common stock on April 20, 2026 for total proceeds of $531,204.38.
Morgan Stanley Finance LLC is offering $1,300,000 of Contingent Income Memory Auto-Callable Notes due June 17, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 principal amount and is linked to the worst performer of Dell Technologies Class C, Tesla, Micron Technology and Qualcomm common stocks.
The notes pay a 10.00% per annum contingent coupon, only if on a monthly observation date the closing level of each stock is at or above its coupon barrier, set at 80% of its initial level. Missed coupons can be “remembered” and paid later if all stocks again meet the barrier, but may be lost entirely if any stock stays below its barrier through maturity.
Starting with the June 14, 2027 determination date, the notes are automatically redeemed if all stocks are at or above 100% of their initial levels, paying principal plus the current and any previously unpaid coupons. If never auto-called, investors receive full principal at maturity, but may have received few or no coupons. The estimated value on the pricing date is $936.00 per note, below the $1,000 issue price, and all payments depend on Morgan Stanley’s credit; the notes are unsecured, unlisted, and may have limited liquidity.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities with a stated principal amount of $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes mature on August 2, 2029 and are linked to the worst performing of the S&P 500 Index, the State Street SPDR S&P Regional Banking ETF and the State Street Technology Select Sector SPDR ETF.
The notes pay a 12.40% per annum contingent coupon, only if on each observation date all three underliers are at or above their coupon barrier levels, set at 70% of initial level. If any underlier is below its barrier on an observation date, no coupon is paid for that period. Beginning on February 3, 2027, the issuer may redeem the notes on specified dates if a risk neutral valuation model indicates early redemption is economically rational for Morgan Stanley, paying principal plus any due coupon.
If the notes are not redeemed and on the final observation date each underlier is at or above its downside threshold level, set at 60% of initial level, investors receive principal back plus any final coupon. If any underlier finishes below its downside threshold, repayment is reduced in proportion to the decline of the worst performer and can fall to zero. The estimated value on the pricing date is approximately $951.90 per security, below the $1,000 issue price, reflecting issuance, selling, structuring and hedging costs. All payments are subject to Morgan Stanley’s and MSFL’s credit risk.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities due September 3, 2027, fully and unconditionally guaranteed by Morgan Stanley, with a $1,000 stated principal amount and issue price per security. The notes are linked to the worst performing of the Dow Jones Industrial Average℠ and the State Street® SPDR® S&P 500® ETF Trust.
Investors may receive a contingent coupon at 8.25% per annum, paid only if on each observation date both underliers are at or above 75% of their initial levels. The notes are automatically redeemed if, on a redemption determination date, both underliers are at or above 100% of their initial levels, paying principal plus the contingent coupon.
If not called and at maturity either underlier is below its 75% downside threshold, the repayment of principal is reduced 1% for each 1% decline of the worst underlier, potentially to zero. The securities are unsecured, subject to Morgan Stanley’s credit risk, and have an estimated value of approximately $984.80 per $1,000 on the pricing date.
Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, is offering contingent income auto-callable securities due September 3, 2027 linked to the worst performer of the S&P 500 Index and the State Street Technology Select Sector SPDR ETF. The notes pay a 13.00% per annum contingent coupon only if on each observation date both underliers are at or above their coupon barrier levels, set at 70% of their initial levels. The securities may be automatically redeemed quarterly from January 29, 2027 onward if both underliers are at or above their 100% call threshold levels, paying principal plus the relevant coupon.
If the notes are not called and on the final observation date either underlier is below its downside threshold (also 70% of its initial level), the repayment is reduced 1% for every 1% decline of the worst underlier, potentially to zero; there is no principal protection and no participation in upside. The issue price is $1,000 per security, while the estimated value on the pricing date is approximately $984.80, reflecting issuance and hedging costs borne by investors. All payments are subject to Morgan Stanley’s credit risk, and the XLK exposure adds concentration risk to the technology sector. U.S. tax treatment is uncertain and may subject non-U.S. holders to 30% withholding on coupons.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities due September 3, 2027, fully and unconditionally guaranteed by Morgan Stanley, linked to the worst performer of the S&P 500 Index and the State Street Technology Select Sector SPDR ETF.
The notes pay a 10.50% per annum contingent coupon only if on each observation date the closing level of both underliers is at or above their coupon barrier levels, set at 70% of initial levels. The securities may be automatically redeemed quarterly from January 29, 2027 onward if both underliers are at or above their call thresholds, set at 100% of initial levels, for principal plus the applicable coupon.
If not redeemed early and at maturity either underlier is below its downside threshold (also 70% of its initial level), investors lose 1% of principal for each 1% decline of the worst-performing underlier, up to a total loss. The issue price is $1,000 per security and the estimated value on the pricing date is approximately $970.80, reflecting issuance, selling, structuring and hedging costs and the issuer’s funding rate. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering fixed rate callable notes due July 31, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and pays a fixed interest rate of 4.65% per annum, accruing from July 31, 2026.
Interest is paid semi-annually on January 31 and July 31, beginning January 31, 2027, using a 30/360 day-count convention. The notes are callable in whole, but not in part, on July 31, 2027 and January 31, 2028 at 100% of principal plus accrued interest, if a risk neutral valuation model indicates early redemption is economically rational for the issuer.
The notes are unsecured obligations of MSFL, guaranteed on a pari passu basis by Morgan Stanley, and are subject to the issuer’s and guarantor’s credit risk. They will not be listed on any securities exchange, and an estimated value on the pricing date of approximately $988.40 per note, or within $48.40 of that estimate, reflects issuing, structuring and hedging costs borne by investors. Proceeds will be used for general corporate purposes.
Morgan Stanley Finance LLC is offering fixed rate callable notes due July 31, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays a fixed interest rate of 4.750% per annum, and accrues interest from July 31, 2026.
Interest is paid semi-annually in arrears on January 31 and July 31 of each year, beginning January 31, 2027, using a 30/360 day-count convention. The issuer may redeem all (but not part) of the notes at 100% of principal plus accrued interest on July 31, 2027 or January 31, 2028, if a risk neutral valuation model indicates redemption is economically rational for the issuer.
The notes are unsecured obligations of MSFL, guaranteed on a pari passu basis by Morgan Stanley, and are subject to the credit risk of both. They are not listed on any securities exchange, may have limited or no secondary market, and their estimated value on the pricing date is approximately $984.60 per note, reflecting issuance, structuring and hedging costs borne by investors. Proceeds are intended for general corporate purposes.
Morgan Stanley Finance LLC is offering fixed rate callable notes due July 30, 2032, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and pays 4.950% fixed interest per year, with semi-annual payments on January 30 and July 30, beginning January 30, 2027, calculated on a 30/360 day-count basis.
The issuer may redeem all (but not part) of the notes at 100% of principal plus accrued interest on specified redemption dates, currently July 30, 2027 and January 30, 2028, if a risk neutral valuation model shows calling is economically rational for the issuer. The notes are unsecured obligations subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley and will not be listed on any exchange, so secondary market liquidity may be limited. The estimated value on the pricing date is approximately $977.00 per note, reflecting issuance, structuring and hedging costs borne by investors. Proceeds will be used for general corporate purposes.
Morgan Stanley Finance LLC is issuing fixed rate callable notes due July 31, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and issue price and pays a fixed 4.900% per annum coupon.
Interest accrues from July 31, 2026 on a 30/360 basis and is paid semi-annually on the 31st of each January and July, starting January 31, 2027, with payment at maturity equal to principal plus accrued interest. The issuer may redeem the notes early, in whole but not in part, on July 31, 2027 or January 31, 2028 at 100% of principal plus accrued interest, but only if a risk neutral valuation model indicates that redemption is economically rational for the issuer.
The notes are unsecured obligations of MSFL, guaranteed on a pari passu basis by Morgan Stanley, and are subject to the credit risk of both. They will not be listed on any securities exchange, and secondary liquidity may be limited. The estimated value on the pricing date is approximately $981.90 per note, reflecting issuance, structuring and hedging costs borne by investors. Proceeds are intended for general corporate purposes.