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 is offering Principal at Risk securities linked to the S&P 500® Index with a stated principal amount of $1,000 per security and an aggregate principal amount of $700,000. The securities pay no interest and provide a fixed upside payment of $78 per security (7.80%) at maturity if the final level on the observation date is at or above the downside threshold (5,633.513, 75% of the initial level). If the final level is below that threshold, holders suffer a pro rata loss equal to the underlier’s decline (payment = stated principal × final level/initial level), and the payment could be zero. The original issue price is $1,000 and the estimated value on the pricing date is $985.50, reflecting issuance, distribution and hedging costs borne by investors. All payments are subject to the credit risk of Morgan Stanley and the securities are unsecured obligations of MSFL, guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC priced callable, principal-at-risk notes—Structured Investments Callable Contingent Income Buffered Securities due June 22, 2029—issued at $1,000 per security with an aggregate principal of $2,951,000. The notes pay a 14.00% per annum contingent coupon for each interest period only if the closing level of each underlier meets or exceeds its coupon barrier on the related observation date. The notes are linked to the worst performing of the Dow Jones Industrial Average, Russell 2000 and the XLK ETF. A buffer of 20% protects investors from losses up to that amount; below the buffer investors suffer a loss equal to the shortfall of the worst performing underlier (1% loss per 1% decline beyond the buffer), subject to a minimum payment at maturity of 20% of principal. The issuer may redeem early on scheduled redemption dates beginning December 22, 2026 if a risk neutral valuation model indicates redemption is economically rational for the issuer. All payments are subject to Morgan Stanley's credit risk; the estimated value on the pricing date was $982.00 per security.
Morgan Stanley Finance LLC priced a principal-at-risk Trigger PLUS linked to the worst performing of IVW (iShares S&P 500 Growth ETF), the S&P 500 Equal Weight Index and the S&P 500 Index. The securities have a stated principal amount of $1,000 per security, an aggregate issuance of $2,935,000, and mature on June 22, 2029.
At maturity holders receive either the stated principal plus a 175% leveraged upside if the worst performing underlier is above its initial level, the stated principal if the worst performing underlier is between its initial level and its 70% downside threshold, or a principal loss equal to the full percentage decline of the worst performing underlier if it falls below the downside threshold. Payments are unsecured and guaranteed by Morgan Stanley and subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities linked to the S&P 500® Index with a stated principal amount of $1,000 per security and aggregate principal of $775,000. The securities pay a contingent coupon at an annual rate of 7.80% on observation dates when the index closes at or above the coupon barrier level and may be automatically redeemed early if the index closes at or above the call threshold on specified redemption determination dates. The initial level and call threshold are 7,511.35; the coupon barrier and downside threshold are 5,633.513 (75% of the initial level). If not auto‑redeemed, holders receive principal at maturity only if the final level is at or above the downside threshold; otherwise the maturity payment equals the stated principal multiplied by the performance factor (final level divided by initial level), which could result in a complete loss of principal. Issue price is $1,000 per security, estimated value on pricing date was $985.00, pricing date June 17, 2026, and maturity July 21, 2027. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering $5,250,000 aggregate principal amount of Principal at Risk notes due July 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an original issue price of $1,000.
Payment at maturity depends on the S&P 500® Index closing level on the observation date July 16, 2027. If the final level is at or above the downside threshold level 6,009.08 (80% of the initial level), investors receive the stated principal plus a fixed upside payment of $89 (8.90%). If the final level is below the downside threshold, the payment equals the stated principal multiplied by (final level / initial level), and investors can lose up to their entire investment. The initial level is 7,511.35. The securities pay no interest, have no minimum payment at maturity, and all payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced principal-at-risk, auto-callable notes linked to the Russell 2000® Index with a stated principal amount of $1,000 per security and an aggregate principal amount of $200,000. The notes pay no interest, offer automatic early redemption beginning on June 21, 2027 if the closing level of the underlier is at or above the call threshold level of 2,917.982, and mature on June 22, 2029. If not called, maturity pays $1,417 per security when the final level is at or above the call threshold; otherwise payment equals the stated principal multiplied by the performance factor (final level/initial level), exposing investors to full downside of the Russell 2000 and potential loss of principal.
Morgan Stanley Finance LLC is offering $1,670,000 in Principal-at-Risk contingent income auto-callable securities, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an original issue price of $1,000.
The securities reference Class A common stock of Meta Platforms, Inc. and pay a contingent coupon at an annual rate of 12.00% only if the closing level of the underlier on each observation date is at or above the coupon barrier level ($363.251, or 64% of the initial level). The initial/strike level is $567.58. The notes are automatically redeemed early if the closing level on any redemption determination date is at or above the call threshold ($567.58), in which case investors receive the stated principal plus the contingent coupon for that period. If not called, maturity payment is the stated principal if the final level is at or above the downside threshold ($363.251); otherwise the payment equals the stated principal multiplied by (final level / initial level), exposing investors to full downside (potentially zero). All payments are subject to issuer and guarantor credit risk; the estimated value on the pricing date was $967.90 per security and selected dealers receive a fixed commission of $22.50 per security.
Morgan Stanley Finance LLC priced structured, principal-at-risk notes linked to the worst performer of the MSCI EAFE (MXEA) and MSCI Emerging Markets (MXEF) indices. The securities have a $1,000 stated principal amount and an original issue price of $1,000 per security; the aggregate offering is $785,000.
The notes pay no interest, may be automatically redeemed on the first determination date for an early redemption payment of $1,225, and otherwise return principal at maturity only if index levels meet specified thresholds. If the worst-performing underlier falls below its downside threshold, holders lose in proportion to that decline; payments are subject to Morgan Stanley Finance LLC's and Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk structured notes linked to Micron Technology, Inc. common stock with a stated principal amount of $1,000 per security and an aggregate principal amount of $700,000. The securities pay a contingent coupon only if the underlier meets observation-date barriers and feature an automatic early redemption mechanism beginning on the first redemption determination date of June 10, 2027. If not redeemed, maturity is March 15, 2028; investors receive principal at maturity only if the final level is at or above the buffer level of $445.94 (50% of initial). Below the buffer, holders suffer losses at a downside factor of 2, potentially losing their entire investment. The estimated value on the pricing date was $972.00 per security and all payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced a structured note offering of Principal at Risk securities linked to the worst performing of Alphabet (class C), Microsoft and NVIDIA. The offering totals $336,000 in aggregate at $1,000 per security with an estimated value of $989.90 on the pricing date. Each security pays no interest, provides a fixed $155 upside payment at maturity if the worst performing underlier is at or above its 70% buffer level, and otherwise suffers a 1% principal loss for each 1% decline of the worst performing underlier beyond the 30% buffer, subject to a minimum payment of 30% of principal. Key dates include strike/pricing on June 17, 2026, original issue date June 23, 2026, observation date July 19, 2027 and maturity July 22, 2027. All payments are subject to issuer and guarantor credit risk.