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 fixed‑coupon, principal‑at‑risk securities due July 31, 2031, fully guaranteed by Morgan Stanley. The notes pay a 7.50% annual fixed coupon, have a stated principal amount of $1,000 per security and an automatic early redemption feature tied to the underlier.
If not called, maturity payoff depends on the S&P® 500 Futures 40% Intraday 4% Decrement VT Index: investors receive principal at maturity only if the final level is at or above the buffer level (the buffer is 15% of the initial level); if the final level is below the buffer, principal is reduced proportionally subject to a 15% minimum payment at maturity. The document states an estimated value on the pricing date of approximately $926.20 per security.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk notes fully guaranteed by Morgan Stanley that pay a contingent coupon and feature an automatic early‑redemption mechanism and a 15% buffer at maturity. Each security has a stated principal amount of $1,000, an original issue price of $1,000, and an estimated value on the pricing date of approximately $921.50.
The notes reference the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. A contingent coupon at an annual rate of 16.50% may be paid on observation dates only if the underlier’s closing level is at or above the coupon barrier (75% of the initial level). If not automatically redeemed, maturity payout protects the first 15% of loss but exposes investors to a 1% principal loss for each 1% decline beyond the buffer, subject to a 15% minimum payment at maturity. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes due September 28, 2027, fully guaranteed by Morgan Stanley, linked to the worst performing of the Nasdaq-100® and S&P 500® indices. Each security has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $982.80. The notes pay no interest and at maturity provide one of three outcomes based on the worst performing underlier on the observation date: (1) upside payment if the final level is above the initial level, (2) a capped positive payment if the final level is between the initial level and the 90% buffer (absolute return participation of 150% but effectively limited to 15% positive return), or (3) principal loss pro rata beyond the 10% buffer, subject to a 10% minimum payment at maturity. Strike and pricing dates are June 23, 2026 with original issue date June 26, 2026. All payments are subject to issuer and guarantor credit risk; tax treatment is uncertain and discussed in the tax supplement.
Morgan Stanley Finance LLC is offering Principal at Risk Structured Investments — dual‑underlier, buffered participation securities linked to the worst performing of the Nasdaq‑100 and the S&P 500, with maturity on July 28, 2027. The securities have a $1,000 stated principal amount, an estimated value on the pricing date of approximately $983.10, an upside cap of $1,165 (116.50% of principal), a 15% buffer and a minimum payment at maturity of 15% of principal.
The payout at maturity is determined solely by the worst performing underlier on the observation date (July 23, 2027): investors may receive up to the capped upside, a limited positive return if the worst underlier declines but stays within the 15% buffer, or losses beyond the buffer (1% loss of principal for each 1% decline beyond the buffer). All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk, unsecured notes linked to shares of the iShares® Expanded Tech-Software Sector ETF with a $1,000 Face Amount per note. The notes pay no interest; maturity payment depends on the ETF's performance at a single Determination Date (expected 13–15 months after the Trade Date). If the Final Underlier Level is ≥90% of the Initial Underlier Level, holders receive a capped Maximum Settlement Amount expected to be between $1,189.80 and $1,222.70 per note. If the Final Underlier Level is <90% of the Initial Underlier Level, the Cash Settlement Amount declines pro rata and could result in a total loss of principal. Morgan Stanley guarantees the notes but credit risk remains; estimated value on the Trade Date is approximately $979.40 per note. Terms such as the Initial Underlier Level, Final Underlier Level, Determination Date and Stated Maturity Date will be set on the Trade Date.
Morgan Stanley Finance LLC is offering Principal at Risk PLUS securities due September 8, 2027 linked to a five‑index basket. The securities have a stated principal amount of $1,000 per security, a leverage factor of 300% on Upside performance and a maximum payment at maturity of $1,184 (118.40%).
Key dates: Strike/Pricing July 2, 2026, Original issue date July 8, 2026, observation date September 2, 2027. Payment at maturity depends solely on the closing basket level on the observation date; investors may lose up to their entire principal and bear Morgan Stanley credit risk. The estimated value on the pricing date is $966.80 per security.
Morgan Stanley Finance LLC is offering Principal at Risk auto-callable securities linked to ServiceNow, Inc. common stock with a stated principal amount of $1,000 per security. The notes pay a contingent coupon (annual rate 21.35%) only if observation-date levels meet the coupon barrier and may auto-redeem early if call thresholds are met. If not redeemed, repayment at maturity on July 1, 2027 depends on the final level versus a downside threshold (50% of the initial level); losses may equal the full decline in the underlier and could result in total loss of principal. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes due January 6, 2028 linked to the worst performing of the S&P 500, Russell 2000 and Nasdaq-100. Each security has a $1,000 stated principal amount and an original issue price of $1,000. The notes pay a 6.25% contingent coupon annually only if every underlier is at or above its coupon barrier on each observation date; they may auto-redeem on specified redemption dates if all underliers meet call thresholds. If a trigger event occurs (any underlier falls below its downside threshold during the term) and the final level of the worst performing underlier is below its initial level, investors suffer linear principal losses (1% loss for each 1% decline in the worst underlier). Estimated value on the pricing date is approximately $966.00 per security. All payments are subject to MSFL's credit risk and are unguaranteed by any government insurer.
Morgan Stanley Finance LLC priced a preliminary offering of structured Principal at Risk Securities due August 26, 2027 linked to the worst performing of the Nasdaq-100 and S&P 500 indices. Each security has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $983.30. Payments at maturity depend solely on the worst performing underlier on the observation date (August 23, 2027): investors may receive the stated principal plus up to a 118.90% maximum upside ($1,189), a limited positive return when declines remain within a 15% buffer, or a loss of principal beyond that buffer (minimum payment 15% of principal). All payments are subject to issuer and guarantor credit risk and the securities pay no interest.
Morgan Stanley Finance LLC is offering Principal at Risk Buffered Jump Securities linked to the Nasdaq-100 Index with a $1,000 stated principal per security. The securities feature a 10% buffer, automatic early redemption opportunities with fixed early redemption payments (approximately 9.55% per annum on each early redemption date), and a maturity payment structure that can return the stated principal, a fixed positive amount, or a reduced principal if the final index level is below the buffer. The pricing and strike dates are June 30, 2026, original issue date is July 6, 2026, and maturity is July 3, 2031. The estimated value on the pricing date is approximately $958.20 per security; all payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley, and are subject to issuer credit risk.