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.
The Morgan Stanley (NYSE: MS) SEC filings page on Stock Titan brings together the firm’s regulatory disclosures, including current reports on Form 8‑K and other registered securities information. These filings show how Morgan Stanley communicates material events such as quarterly and annual financial results, capital actions, regulatory capital developments and securities offerings.
Form 8‑K filings frequently cover the release of financial information for specific quarters and for the full year, with press releases and financial data supplements filed as exhibits. Other 8‑K reports describe changes in the firm’s Stress Capital Buffer under the Federal Reserve’s supervisory stress testing framework, providing context on Morgan Stanley’s U.S. Basel III Standardized Approach Common Equity Tier 1 capital requirements.
The filings also list the securities registered under Section 12(b) of the Securities Exchange Act of 1934, including common stock, multiple series of non‑cumulative preferred stock represented by depositary shares, and global medium‑term notes issued by Morgan Stanley or Morgan Stanley Finance LLC, with Morgan Stanley acting as guarantor for certain notes. Additional 8‑K filings describe the approval of forms of master notes for global medium‑term notes and related legal opinions and consents.
On Stock Titan, these SEC documents are updated as they are made available on EDGAR. AI‑powered summaries help explain the key points in lengthy filings, so users can quickly see what each 8‑K, 10‑K or 10‑Q addresses without reading every page. Investors can also use this page to monitor registered securities, preferred stock disclosures and other regulatory information related to Morgan Stanley.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Trigger Autocallable GEARS linked to the Invesco KBW Bank ETF (ticker KBWB). The unsecured notes carry a $10 issue price, mature on 20-Jul-2028 and have an approximate 3-year term.
Key payout mechanics:
- Automatic call: If on the single Observation Date (22-Jul-2026) KBWB closes at or above the Autocall Barrier (100 % of the Initial Price), the notes are redeemed for $10 plus a 10 % Call Return ($11 total). No further payments are made.
- Upside at maturity: If not called and KBWB appreciates, investors receive $10 plus the Underlying Share Return × Upside Gearing (1.90–2.20, set on trade date).
- Contingent principal protection: If KBWB is flat or down but the Final Price is ≥ the Downside Threshold (75 % of Initial), investors receive full principal.
- Full downside exposure: If Final Price is < Downside Threshold, repayment equals $10 + ($10 × Underlying Share Return), up to a 100 % loss of principal.
Indicative economics: Estimated value on the trade date is roughly $9.439 per $10 note, reflecting structuring and hedging costs and Morgan Stanley’s internal funding rate. UBS Financial Services receives a $0.25 selling concession. Minimum purchase is 100 notes.
Risk highlights (page references 7-12): investors face market risk similar to holding KBWB, sector concentration in U.S. banks, issuer credit risk, lack of periodic income, potential illiquidity (no listing; MS & Co. market-making discretionary) and uncertain tax treatment, including possible “constructive ownership” recharacterisation.
Suitability: The product targets investors who (i) can tolerate substantial loss of principal, (ii) are comfortable with a single-day call feature, (iii) seek leveraged upside and a 10 % fixed call payout, and (iv) accept Morgan Stanley credit exposure.
Morgan Stanley Finance LLC (Series A) is issuing $2.291 million of Callable Jump Notes due July 5 2030 linked to the S&P 500 Index (initial level 6,204.95). The $1,000-denominated notes are senior unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and will not pay periodic interest.
Key structural features
- Principal repayment: Investors receive at least the stated principal at maturity, subject to issuer credit risk.
- Upside participation: 100 % of index appreciation (no cap) if the notes reach maturity without being called.
- Call schedule: Beginning July 3 2026 (one year after issue), the issuer may redeem the notes in whole on 48 monthly “Redemption Dates.” Redemption amounts rise by ≈10 % simple per year—from $1,100 on the first call to $1,491.667 on the final call before maturity.
- Call decision methodology: A risk-neutral valuation model compares the economic benefit of calling versus holding, incorporating market variables and MS credit spreads set on the pricing date; calls occur only when economically rational for Morgan Stanley.
- Estimated value: $983.10 per note (≈1.7 % below issue price) reflects embedded structuring and hedging costs and MS’s internal funding rate.
- Distribution: Sold exclusively to fee-based advisory accounts at par; MS&Co. (affiliate) receives no sales commission but may collect up to $6.25/note structuring fee.
- Secondary market & liquidity: Notes are unlisted; MS&Co. may make a market but is not obliged to. Secondary prices likely below issue price and influenced by MS credit spreads, bid/offer and market volatility.
- Risk highlights: early-call risk limits upside, zero coupon means negative carry, credit exposure to Morgan Stanley, tax treatment as CPDI requiring annual OID accrual, illiquidity, and potential mismatch between estimated and secondary market value.
Investor profile: Suitable for investors seeking principal repayment, willing to forgo income, accept issuer credit exposure, and comfortable with potential early redemption that truncates upside.
Morgan Stanley Finance LLC is offering $895,000 aggregate principal amount of Lookback Entry Buffered PLUS due July 5, 2030, unsecured notes fully guaranteed by Morgan Stanley and linked to the S&P 500 Futures Excess Return Index (Bloomberg: SPXFP). The securities pay no coupons; investor return is determined only at maturity.
- Upside: If the final index level exceeds the initial level, holders receive the $1,000 principal plus 149 % of any positive index return.
- Look-back entry: The initial level is the lowest closing level recorded from June 30 through August 29, 2025, giving investors a potentially favorable starting point.
- Downside protection: A 20 % buffer applies; losses begin only if the index falls below 80 % of the initial level. Maximum loss is capped by a $200 minimum repayment (20 % of principal).
- Credit & liquidity considerations: Notes are senior unsecured obligations of MSFL/Morgan Stanley, are not exchange-listed, and may trade at prices well below face value. Estimated value on the pricing date is $977, implying roughly 2.3 % in issuance costs borne by investors.
- Key dates: Pricing – June 30 2025; Issue – July 3 2025; Final Observation – July 1 2030; Maturity – July 5 2030.
The product suits investors with a moderately bullish five-year outlook on U.S. equities who can tolerate credit risk and potential loss of up to 80 % of principal, and who are comfortable with limited secondary-market liquidity and no interim income.
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