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 offers $3,711,000 aggregate principal amount of Structured Investments — Buffered Jump Securities with an auto-callable feature due June 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. The securities have a $1,000 stated principal amount per security and do not pay periodic interest.
Automatic early redemption can occur on scheduled determination dates beginning June 28, 2027 if the underlier meets the call threshold level of 1,150.016 (85% of the initial level). If not called, a buffer of 15% protects initial losses up to that amount; below the buffer, investors lose 1% of principal for each 1% decline beyond the buffer, subject to a 15% minimum payment at maturity. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced principal-at-risk market-linked notes tied to the S&P 500® Futures Excess Return Index due June 30, 2031. The notes have a stated principal amount of $1,000 per note, a participation rate of 123.25% and pay no periodic interest; maturity payment depends solely on the index closing level on the observation date.
The aggregate offering is $758,000. The original issue price is $1,000 per note, with an estimated value on the pricing date of $952.40 per note; selected dealers receive a $35 sales commission per note. All payments are subject to issuer credit risk and the notes will not be listed on any exchange.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS principal-at-risk securities linked to the worst performing of the Dow Jones Industrial Average, Nasdaq-100 and Russell 2000. The securities have a $1,000 stated principal amount and aggregate principal amount of $1,525,000. They pay no interest and mature on June 30, 2031. At maturity investors receive either (i) stated principal plus a leveraged upside payment if each underlier finishes above its initial level, (ii) stated principal plus a capped positive absolute-return payment if the worst performing underlier finishes at or above its 80% buffer level, or (iii) a reduced payment (losses of 1% per 1% beyond the 20% buffer) if the worst performing underlier finishes below its buffer level. The leverage factor is 138%, the absolute return participation rate is 100%, the buffer is 20%, and the minimum payment at maturity is 20% of stated principal. All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC offers contingent income, memory auto-callable notes due July 13, 2029. The securities pay a contingent coupon at an annual rate of 23.00% on observation dates if each underlier meets its coupon barrier, are linked to the worst-performing of Micron, Amazon and Shopify, and expose investors to principal loss tied to the worst-performing underlier.
The notes have a stated principal amount of $1,000 per security, a pricing/strike date of July 10, 2026, scheduled observation dates through July 10, 2029, and are fully guaranteed by Morgan Stanley; all payments are subject to the issuer's credit risk.
Morgan Stanley Finance LLC offers Principal-at-Risk Auto-Callable Securities due June 30, 2031, fully guaranteed by Morgan Stanley, linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index.
The notes have a stated principal amount of $1,000 per security, an aggregate issuance of $150,000, a contingent annual coupon of 9.50%, and an estimated value on the pricing date of $892.80. Coupons are payable only if the underlier meets the coupon barrier on observation dates. Automatic early redemption may occur if the underlier is at or above the call threshold on any redemption determination date; otherwise, at maturity investors may lose principal if the final level is below the downside threshold (50% of the initial level).
Morgan Stanley Finance LLC is offering market‑linked notes due June 28, 2029, fully and unconditionally guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per note and an aggregate principal amount of $100,000.
The notes pay no interest, provide repayment of principal at maturity subject to issuer credit risk, and pay an upside payment at maturity equal to stated principal × 450% participation rate × underlier percent change if the final level exceeds the initial level. Key economics: initial level 206.52 (strike date June 25, 2026), observation date June 25, 2029, estimated value on the pricing date $925.20 per note, and agent commission $22.50 per note.
Morgan Stanley Finance LLC priced principal-at-risk notes linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, issued at $1,000 per security with an aggregate principal amount of $1,120,000. The securities can auto-redeem on scheduled determination dates beginning July 2, 2027 if the underlier meets the call threshold level of 2,941.299 (90% of the initial level). If not redeemed, maturity payoffs depend on the final level versus the downside threshold of 1,960.866 (60% of the initial level): full fixed upside payment of $1,825.00 if at or above the call threshold, return of principal if between thresholds, or principal loss pro rata if below the downside threshold. The estimated value on the pricing date was $905.80 per security and all payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced Principal at Risk structured notes linked to the Roundhill Magnificent Seven ETF. Each note has a stated principal amount of $1,000 and an original issue date of July 6, 2026. The notes carry an automatic early redemption feature beginning with the first determination date of July 2, 2027 and a maturity date of July 1, 2031. If a determination-date closing level of the underlier is at or above the call threshold ($61.60), the notes will auto-redeem for a fixed early redemption payment that implies approximately 11.50% per annum. If not redeemed and the final level is at or above the downside threshold ($43.12), investors receive a fixed positive payment of $1,575.00; if below that threshold, payment at maturity equals principal multiplied by the performance factor (final level / initial level), which could result in a substantial loss or zero. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is issuing Dual Directional Trigger PLUS notes due June 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and was issued at $1,000 with an estimated value of $946.50 on the pricing date. The payoff at maturity depends solely on the worst performing of the Dow Jones Industrial Average, Russell 2000® and S&P 500® indices measured on the observation date of June 25, 2031.
If the worst performing underlier finishes above its initial level, investors receive the stated principal plus 133% of that underlier’s appreciation. If the worst performing underlier finishes between its initial level and a 60% downside threshold, investors receive the stated principal plus 50% of the absolute decline (capped effectively at a 20% positive return). If the worst performing underlier finishes below its 60% threshold, investors suffer a pro rata loss of principal (1% loss for each 1% decline), with no minimum payment.
Morgan Stanley Finance LLC is offering buffered, auto-callable principal-at-risk notes tied to the Global X Defense Tech ETF, with a $1,000 stated principal amount per security. The notes can be automatically redeemed on July 20, 2027 if the underlier meets the call threshold on the first determination date. At maturity on July 7, 2028, returns depend on the final level versus an initial level determined on July 2, 2026: investors receive upside via a 125% participation rate if the final level is higher, full principal if the final level is above an 85% buffer, or incur leveraged losses calculated with a 1.1765 downside factor.
The original issue price is $1,000 and the issuer estimates the securities’ value at approximately $979.40 on the pricing date. All payments are unsecured and subject to Morgan Stanley Finance LLC and Morgan Stanley credit risk. The notes do not pay interest and may result in a total loss of principal.