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 Finance LLC priced a series of Trigger PLUS principal-at-risk securities linked to the worst performing of the Nasdaq-100® Technology Sector Index and the S&P 500® Index. The securities have a $1,000 stated principal amount, a 150% leverage factor on the upside, a maximum payment at maturity of $1,271.50 and mature on December 30, 2027. At maturity the payout is determined solely by the worst performing underlier on the observation date: investors either receive leveraged upside up to the stated cap, return of principal in a limited performance range, or suffer losses proportional to declines below the 70% downside threshold, potentially losing their entire investment. All payments are subject to the credit risk of Morgan Stanley and the securities do not pay interest.
Morgan Stanley Finance LLC is offering Principal at Risk auto-callable securities linked to UnitedHealth Group common stock, with a stated principal amount of $1,000 per security and an aggregate issuance of $4,400,000. The notes pay a contingent coupon at an annual rate of 11.40% on observation dates only if the underlier is at or above a coupon barrier of $263.77 (65% of the initial level). The initial/strike level and call threshold are $405.80 (100% of initial). The securities may auto-redeem on specified redemption determination dates beginning September 24, 2026. At maturity on December 30, 2027, if the final level is below the downside threshold ($263.77), payment equals principal × (final level / initial level) and could be significantly less than, or equal to, zero. All payments are subject to MSFL/Morgan Stanley credit risk; estimated value at issuance was $981.30 per security.
Morgan Stanley Finance LLC is offering $1,000,000 aggregate principal of Buffered PLUS notes, fully and unconditionally guaranteed by Morgan Stanley. The securities mature June 28, 2029 and return the stated principal plus a 150% leverage on positive basket performance subject to a $1,471 maximum payment.
The notes provide a 5% buffer (buffer level 95) against declines; losses beyond the buffer reduce principal 1% for each 1% decline, subject to a 5% minimum payment. The estimated value on the pricing date was $977.10 per security and all payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes linked to the First Trust Nasdaq Cybersecurity ETF (CIBR) with a stated principal amount of $1,000 per security and an aggregate offering of $530,000. The securities pay a contingent coupon at an annual rate of 9.50% on each coupon payment date only if the underlier's closing level on the related observation date is at or above the coupon barrier level of $58.66 (70% of the initial level). The notes are subject to automatic early redemption if the underlier's closing level on any redemption determination date is greater than or equal to the call threshold of $83.80 (100% of the initial level); early redemption payments equal the stated principal plus the contingent coupon for the related period. If not redeemed early, maturity payment is the stated principal if the final level is at or above the downside threshold ($58.66); if the final level is below that threshold, payment equals the stated principal multiplied by the performance factor (final level/initial level), exposing holders to a potentially total loss. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and therefore subject to the guarantor's credit risk. The estimated value on the pricing date was $967.60 per security; the issue price is $1,000 per security, with an agent commission of $20 per security.
Morgan Stanley Finance LLC priced Dual Directional Buffered Participation Securities due September 29, 2027, linked to the worst performing of the Dow Jones Industrial Average and the S&P 500® Index. Each security has a stated principal amount of $1,000 and an original issue price of $1,000. The securities pay no interest and expose investors to Morgan Stanley credit risk.
At maturity the payout depends on the worst performing underlier on the observation date of September 24, 2027. The securities provide (i) full participation up to a maximum upside payment of $1,133.50, (ii) a 19% buffer (81% buffer level) that converts certain declines into a limited positive payoff, and (iii) a downside exposure where losses beyond the buffer reduce principal dollar-for-dollar, subject to a minimum payment of 19% of principal. Estimated value on pricing date was $989.90.
Morgan Stanley Finance LLC and Morgan Stanley are offering Structured Investments — Contingent Income Memory Buffered Auto-Callable Securities due May 30, 2029 (stated principal amount $1,000 each) linked to the worst performing of the State Street SPDR S&P Metals & Mining ETF (XME) and the VanEck Gold Miners ETF (GDX).
The notes pay a contingent coupon at an annual rate of 7.00% only when both underliers meet their coupon barrier levels on observation dates, feature automatic early redemption if both underliers meet their call thresholds on redemption determination dates, and provide a buffer that shields the first 20% of decline but expose investors to losses beyond that (minimum payment at maturity is 20% of principal). All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced a $2,000,000 offering of principal-at-risk, contingent-coupon, memory auto-callable notes linked to the common stock of NVIDIA Corporation. The notes have a $1,000 stated principal amount per security, an 11.00% annual contingent coupon, a maturity date of June 29, 2028, and are fully and unconditionally guaranteed by Morgan Stanley. The initial level of the underlier was $199.00 (the initial level and call threshold). The coupon barrier and downside threshold are both $109.45 (55% of the initial level). If not called early, payments at maturity depend on the final level: full principal is returned only if the final level is at or above the downside threshold; otherwise payment equals principal multiplied by final/initial level and could be significantly less or zero.
Morgan Stanley Finance LLC priced a preliminary offering of leveraged, buffered S&P 500® index‑linked notes (Face Amount $1,000 per note) that are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley. The notes provide 150% participation in upside subject to a cap (expected between 108.01% and 109.39% of the Initial Underlier Level) and a Maximum Settlement Amount expected between $1,120.15 and $1,140.85 per $1,000. The notes include a 10.00% buffer (you receive $1,000 if the index decline is ≤10.00%) and expose investors to full downside if the index falls by more than 10.00%. The estimated value on the trade date is approximately $986.70 per note and the price to public is $1,000 with agent compensation of $10.80 (1.08%). All payments are subject to issuer credit risk; the notes are not exchange‑listed, do not pay interest, and have no guaranteed return of principal.
Morgan Stanley Finance LLC is offering contingent income auto-callable securities tied to Citigroup Inc. common stock with an aggregate principal amount of $2,980,000 (100 securities at $1,000 each). The securities mature on June 28, 2029 with a final observation date of June 25, 2029.
The notes pay a contingent coupon at an annual rate of 11.40% only when observation-date closing levels meet or exceed the coupon barrier. The securities feature automatic early redemption if the underlier is at or above a call threshold on a redemption determination date. Investors bear full principal risk: if the final level is below the downside threshold, payment at maturity is reduced pro rata and could be zero. All payments are subject to the credit risk of Morgan Stanley and MSFL.
Morgan Stanley Finance LLC is offering Trigger PLUS notes due August 4, 2032, fully and unconditionally guaranteed by Morgan Stanley. Each Trigger PLUS has a stated principal amount of $1,000, a 130% leverage factor on upside returns and a trigger level equal to 85% of the initial index value. At maturity the payout is based on the S&P 500® closing value on the valuation date; if the final index value is below the trigger level, investors lose a portion or all of principal on a 1% loss per 1% index decline. The pricing date is July 17, 2026, original issue date July 22, 2026, and the issuer estimates the value on the pricing date at approximately $949.20 per Trigger PLUS. The maximum payment at maturity will be set on the pricing date and will be at least $1,850 per Trigger PLUS. All payments are subject to the issuer’s credit risk and the notes will not be listed.