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 (MS), through Morgan Stanley Finance LLC, is offering Variable Income Auto‑Callable Notes due September 2, 2031, fully and unconditionally guaranteed by Morgan Stanley, in an aggregate principal amount of $415,000 at $1,000 per note.
The notes pay a variable monthly coupon: a higher rate of 10.65% per annum if on an observation date the closing level of each of Dell, Alphabet (Class C), Marvell and Tesla stock is at or above its stock‑specific coupon barrier level, and a lower rate of 0.25% per annum otherwise. From August 26, 2027 onward, the notes are automatically redeemed if on a redemption determination date each stock is at or above its call threshold level (90% of its initial level), returning principal plus the higher coupon for that period.
If not called, investors receive principal at maturity plus the applicable final coupon. The structure is based on the worst performing underlier, so weakness in any one stock drives outcomes. The estimated value on the pricing date is $951.30 per note, below the issue price, reflecting offering costs and issuer pricing. The notes are unsecured, not listed, and all payments depend on Morgan Stanley’s and MSFL’s credit.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering fixed rate callable notes due September 15, 2034, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and pays a fixed annual interest rate of 5.200%, with semi-annual interest payments each March 15 and September 15, beginning March 15, 2027.
The issuer may redeem the notes early, in whole but not in part, on semi-annual redemption dates starting September 15, 2030, at 100% of principal plus accrued interest, if a risk neutral valuation model indicates redemption is economically rational for the issuer. The estimated value on the pricing date is approximately $969.80 per $1,000 note, reflecting issuance, structuring and hedging costs borne by investors. Payments depend on the credit of Morgan Stanley and the notes will not be listed on any securities exchange. Net proceeds will be used for general corporate purposes.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering market-linked notes due August 29, 2031, tied to the S&P 500® Futures Excess Return Index. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and pay no periodic interest.
Each note has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $1,338,000. At maturity, investors receive $1,000 plus an upside payment equal to 130% of any positive percentage change in the index from its initial level of 612.01 to its final level; if the final level is equal to or less than the initial level, only principal is repaid.
The participation rate is 130%, so a 5% index gain would yield $1,065 per note. The notes are not listed on any exchange, and Morgan Stanley & Co. LLC may make a secondary market but is not obligated to. The estimated value on the pricing date is $946.30 per note, below the issue price due to embedded issuing, selling, structuring and hedging costs, and all payments are subject to Morgan Stanley’s credit risk.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is issuing fixed-income buffered auto-callable securities due August 29, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. The securities have a stated principal amount of $1,000 per security and an aggregate principal amount of $342,000, issued at par.
The notes pay a fixed coupon at an annual rate of 6.80%, with monthly coupon payments, regardless of index performance, so long as the notes remain outstanding. Starting August 25, 2027, the notes are subject to automatic early redemption if the index is at or above the call threshold of 1,245.802 (95% of the initial level 1,311.37), in which case investors receive principal plus the applicable coupon and the notes terminate.
If not called, at maturity investors receive principal back if the final index level is at or above the buffer level of 1,114.665 (85% of initial). If the final level is below the buffer, principal is reduced 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment at maturity of 15% of principal, plus the final coupon. The estimated value on the pricing date is $916.30 per security, reflecting structuring and hedging costs and issuer economics. All payments are unsecured and subject to the credit risk of Morgan Stanley Finance LLC and the Morgan Stanley guarantee.
Morgan Stanley (MS), as guarantor of notes issued by Morgan Stanley Finance LLC, is offering Enhanced Trigger Jump Securities linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index, under its Series A Global Medium-Term Notes program. Each security has a $1,000 principal amount, pays no interest and matures on August 29, 2030. If on the observation date each index is at or above its downside threshold (70% of its initial level), holders receive $1,000 plus a fixed $400 upside payment. If any index is below its threshold, the payoff is $1,000 multiplied by the performance factor of the worst-performing index, with losses of 1% of principal for each 1% decline and no minimum repayment, so principal can be fully lost. The securities are unsecured, subject to Morgan Stanley’s credit risk, have an estimated value on the pricing date of $958.80 per $1,000, and may have limited or no secondary market liquidity.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Buffered Performance Leveraged Upside Securities (Buffered PLUS) due August 31, 2028 linked to the EURO STOXX 50® Index. Each security has a $1,000 stated principal amount within a $538,000 aggregate issuance.
At maturity, if the index is above the initial level of 6,470.74, investors receive principal plus 150% of the index gain, capped at a maximum payment of $1,350 per security. If the index finishes between 85% and 100% of the initial level, investors receive only principal. Below the 85% buffer level of 5,500.129, principal is reduced 1% for each additional 1% decline, but not below the minimum payment of 15% of principal.
The securities pay no interest, are unsecured obligations of Morgan Stanley Finance LLC fully and unconditionally guaranteed by Morgan Stanley, and are subject to the issuer’s and guarantor’s credit risk. The estimated value on the pricing date is $984.00 per security, reflecting structuring and hedging costs and a rate advantageous to the issuer.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Dual Directional Buffered Participation Securities linked to the S&P 500® Index, maturing on October 1, 2027. Each note has a $1,000 stated principal amount, with an issue price of $1,000 and an estimated value on the pricing date of approximately $984.90, reflecting issuing, selling, structuring and hedging costs borne by investors.
At maturity, if the S&P 500® final level is above the initial level, holders receive principal plus 100% of upside, capped by a maximum upside payment of at least $1,123 per security (112.30% of principal). If the index is below or equal to the initial level but at or above 90% of it (the 10% buffer), investors earn a positive return equal to the absolute decline, up to an effective 10% gain. If the index closes below the buffer level, investors lose 1.1111% of principal for each 1% decline beyond the 10% buffer, with no minimum payment and the possibility of a total loss.
The notes pay no interest, are unsecured obligations of Morgan Stanley Finance LLC fully and unconditionally guaranteed by Morgan Stanley, and all payments are subject to Morgan Stanley’s credit risk. The S&P 500® closing level was 7,675.70 on August 26, 2026. Counsel currently views the securities as prepaid financial contracts for U.S. federal income tax purposes, though this treatment is uncertain.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Dual Directional Buffered Participation Securities due August 29, 2031, linked to the S&P 500® Index and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an aggregate principal amount of $250,000.
The securities pay no interest. If the S&P 500 final level is above the initial level of 7,675.70, holders receive principal plus 100% of the index gain, capped at a maximum payment of $1,600 per security. If the index is below or equal to the initial level but at or above the buffer level of 6,524.345 (an 85% level, i.e., a 15% buffer), investors earn a positive “absolute return” up to 15%. If the index falls below the buffer level, investors lose 1% of principal for each 1% decline beyond the buffer, but not below a minimum payment of 15% of principal.
The estimated value on the pricing date is $936.60 per security, below the $1,000 issue price due to issuing, selling, structuring and hedging costs borne by investors. The notes are unsecured obligations subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, may be illiquid, and involve complex U.S. tax and Section 871(m) considerations.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering structured Callable Jump Notes due August 29, 2031 linked to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and issue price, with a total aggregate principal of $897,000.
The notes pay no interest. If not called and if the index’s final level exceeds the initial level of 612.01, investors receive $1,000 plus an upside payment equal to 160% of the index gain; otherwise, only principal is repaid at maturity. Beginning August 31, 2027, the issuer may redeem the notes in whole on scheduled redemption dates if a risk neutral valuation model indicates early redemption is economically rational, paying fixed call amounts that imply roughly 12% per annum simple returns, from $1,120 on the first redemption date up to $1,590 on July 31, 2031.
The notes are unsecured and subject to Morgan Stanley’s credit risk, will not be listed on any exchange and may have limited liquidity. The estimated value on the pricing date is $935.70 per note, below the $1,000 issue price due to embedded costs and issuer funding economics. For U.S. tax purposes, the securities are expected to be treated as contingent payment debt instruments, requiring annual accrual of taxable interest based on a 5.0361% comparable yield.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is issuing Trigger PLUS structured notes linked to the S&P 500® Futures Excess Return Index, maturing on August 29, 2031. Each security has a $1,000 stated principal amount and is issued at $1,000, with an aggregate principal amount of $3,725,000.
The notes offer 209% leveraged upside if the final index level on the August 26, 2031 observation date is above the initial level of 612.01. If the final level is between 70% of the initial level (the downside threshold level of 428.407) and the initial level, investors receive only principal back. Below the threshold, repayment is reduced 1% for each 1% decline in the index, with no minimum payment.
The securities pay no interest, are unsecured obligations of Morgan Stanley Finance LLC fully and unconditionally guaranteed by Morgan Stanley, and all payments are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $943.30 per security, below the issue price, reflecting issuance, selling, structuring and hedging costs and Morgan Stanley’s pricing. Liquidity may be limited, and tax treatment is uncertain; the issuer’s counsel views them as prepaid financial contracts treated as open transactions for U.S. federal income tax purposes.