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 has announced SPUMP40 Buffered Jump Securities with auto-callable features, due August 1, 2030. These structured notes track the S&P U.S. Equity Momentum 40% VT 4% Decrement Index with the following key features:
- Buffer Protection: 15% downside buffer (85% maximum loss)
- Auto-Callable Feature: Monthly redemption opportunities starting July 2026
- Early Redemption Payments: Range from $1,102.50 to $1,553.125 per security
- Initial Pricing Date: July 28, 2025
- Estimated Value: $900.20 per security (±$50.20)
Key risks include: no interest payments, early redemption risk, limited appreciation potential, and credit risk of Morgan Stanley. The securities feature a complex structure with 48 potential early redemption dates and payments that increase over time. The underlying index is relatively new (established March 2022) and includes a 4% annual decrement feature that may impact performance.
Morgan Stanley Finance has announced Worst-of Dual Directional Buffered PLUS securities linked to INDU, NDX, and RTY indices, maturing August 1, 2030. Key features include:
- Leverage factor of 134% to 149% on positive index performance
- Buffer amount of 20% protecting against initial market decline
- 100% absolute return participation rate for negative performance up to buffer
- Maximum loss capped at 80% of initial investment
- Estimated value of $917.50 per security
Payment at maturity will be based on the worst-performing underlier. The securities offer leveraged upside potential and partial downside protection, but involve significant risks including credit risk, no interest payments, and limited secondary market liquidity. Notable is exposure to small-cap risk through RTY index inclusion. The structure provides asymmetric returns, with enhanced upside through leverage and partial downside protection through the buffer.
Morgan Stanley Finance LLC has announced Contingent Income Memory Buffered Auto-Callable Securities linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index (SPUMP40), due August 1, 2030. Key features include:
- Contingent Coupon Rate: 10.00% to 11.00% per annum with memory feature
- Auto-Call Feature: Monthly redemption after 1 year if index closes at or above 100% of initial level
- Downside Protection: 15% buffer (85% maximum loss)
- Coupon Barrier: 70% of initial level, paid monthly
The securities, priced at an estimated value of $894.70 per unit, offer conditional downside protection but limit upside participation. Notable risks include credit risk of Morgan Stanley, early redemption risk, and the underlier's limited operating history since March 2022. The 4% decrement feature of the index will impact performance regardless of market direction.
Morgan Stanley Finance has issued $1.434M in Callable Contingent Income Memory Securities due April 12, 2028, linked to the performance of three ETFs: VanEck Semiconductor, iShares U.S. Aerospace & Defense, and SPDR S&P Bank ETF.
Key features include:
- 17% annual contingent coupon rate, payable if all underliers are above 75% of initial levels
- Early call feature starting July 10, 2025, based on risk-neutral valuation model
- Principal at risk: 1-for-1 loss if any underlier falls below 70% of initial level at maturity
- Initial pricing at $1,000 per security with estimated value of $954.90
The securities are unsecured obligations of Morgan Stanley Finance, fully guaranteed by Morgan Stanley. They offer potential above-market returns but carry significant risks including possible loss of principal, no guaranteed coupons, and early redemption risk. The worst-performing underlier determines returns.
Morgan Stanley Finance has announced Contingent Income Memory Buffered Auto-Callable Securities linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index (SPUMP40), due August 5, 2030. Key features include:
- Contingent Coupon Rate: 11.25% to 12.25% per annum with memory feature
- Auto-Call Feature: Monthly redemption after 6 months if index closes at or above 100% of initial level
- Downside Protection: 15% buffer (85% maximum loss)
- Coupon Barrier: 65% of initial level
The securities, priced at an estimated value of $938.90, offer conditional monthly payments but no participation in index appreciation. Notable risks include credit risk of Morgan Stanley, early redemption risk, and the underlier's limited operating history since March 2022. The 4% annual decrement feature will impact index performance regardless of market direction. These securities are not listed on any exchange, limiting secondary market trading opportunities.
Morgan Stanley Finance has announced Worst-of SPX, NDX and RTY Trigger PLUS securities due August 5, 2030. These structured notes offer leveraged exposure to the worst-performing index among the S&P 500, Nasdaq-100, and Russell 2000 indices.
Key features include:
- Maximum payment at maturity: 176% to 181% of principal ($1,760 to $1,810 per security)
- Leverage factor: 400%
- Downside threshold: 70% of initial level
- Estimated value: $944.10 per security
Notable risks include no principal protection, limited appreciation potential, and exposure to the worst-performing index. The securities don't pay interest and are subject to Morgan Stanley's credit risk. The payment at maturity will be determined solely by the worst-performing underlier's value on July 31, 2030. If any underlier declines more than 30% from its initial level, investors will be fully exposed to the downside of the worst performer.
Morgan Stanley Finance has announced SX5E Market-Linked Notes due August 5, 2030, offering investors exposure to the EURO STOXX 50® Index with enhanced upside potential. Key features include:
- A 130% to 135% participation rate in the index's positive performance
- Principal protection against negative index performance
- Estimated value of $952.00 per note
- 5-year maturity with observation date on July 31, 2030
The notes' payment structure offers asymmetric returns: investors receive 130-135% of any positive index performance while being protected against losses, maintaining the $1,000 principal even if the index declines. Notable risks include credit risk of Morgan Stanley, no interim interest payments, and limited secondary market liquidity. The notes are guaranteed by Morgan Stanley and will trade under CUSIP 61778NAV3.
Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, plans to issue market-linked notes tied to the EURO STOXX 50 Index (SX5E). The notes offer 114%-119% upside participation on any positive index performance observed on July 31 2029, with full principal repayment at maturity even if the index declines. Key terms include a $1,000 face value, pricing on July 31 2025, and maturity on August 3 2029 (4-year term). The preliminary estimated value is $958.80 (≈95.9% of face), reflecting issuance and hedging costs.
Key structural features
- No periodic coupons; all return realized at maturity.
- Amount payable depends solely on index level at the single observation date; interim movements are irrelevant.
- Notes will not be listed, and secondary liquidity may be limited.
- Credit exposure to Morgan Stanley; MS Finance LLC is a wholly owned funding vehicle without independent assets.
Principal risk highlights
- Investors may earn only principal if SX5E is flat or negative.
- The 4.1% issue-price premium versus estimated value creates negative yield if held to maturity without index appreciation.
- Market value can be volatile, influenced by MS credit spreads and trading in related instruments.
- Investors may incur taxable income annually under U.S. OID rules.
Overall, the product suits investors seeking European equity exposure with principal protection and are comfortable with MS credit risk and the lack of interim income.
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