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 LLC is offering $4,516,000 of market-linked securities tied to NVIDIA stock, each with a $1,000 face amount and an estimated initial value of $960.40. The notes mature on July 28, 2027 and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, investors receive $1,365 per note (a 36.50% fixed gain) if NVIDIA’s ending price is at or above the $187.67 starting price. If NVIDIA ends below the starting price but at or above the $121.9855 threshold (65% of start), investors receive the $1,000 face amount. If NVIDIA closes below the threshold, repayment is reduced 1-for-1 with the stock’s loss, exposing investors to losses greater than 35% and potentially a total loss of principal.
The securities pay no interest and do not provide dividends or voting rights in NVIDIA. They embed issuance, selling, structuring and hedging costs, so the estimated value is below face, and secondary market prices may be lower than $1,000. All payments depend on Morgan Stanley’s credit, and the notes will not be listed on any exchange, so liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $5,418,000 of $1,000 face-value market-linked securities tied to the lowest-performing of Alphabet Class A, Broadcom and Amazon common stock, maturing January 26, 2029.
The notes are auto-callable on January 28, 2027 for a fixed cash payment of $1,285.50 per $1,000 (about 28.55% total return) if each stock is at or above its call price. If not called, at maturity investors get: 150% of the gain of the lowest-performing stock if it finishes above its starting price; full principal back if the lowest-performing stock is between 80% and 100% of its starting price; or a loss beyond a 20% buffer, with up to 80% of principal at risk.
The securities pay no interest, forgo dividends, are not exchange-listed, and all payments depend on Morgan Stanley’s credit. The issuer’s estimated value on the pricing date is $937.40 per $1,000 note, reflecting issuance, structuring and hedging costs and an internal funding rate that is favorable to the issuer.
Morgan Stanley Finance LLC is offering $1,000 principal-at-risk Dual Directional Trigger Jump Securities due February 4, 2031, fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and all payments depend on Morgan Stanley’s credit.
Returns are tied to the worst performer of the S&P 500 Futures Excess Return Index and the Russell 2000 Index. If both finish at or above their initial levels, investors receive $1,000 plus the greater of index gains on the worst underlier or a fixed $622 upside payment (62.20%). If the worst index is down but no more than 30% (stays at or above 70% of its initial level), investors get a positive return matching the percentage decline, capped at a 30% gain.
If either index ends below its 70% downside threshold, principal falls 1% for each 1% decline in the worst index, with no minimum repayment; an 85% drop would leave investors with $150. The preliminary estimated value on the pricing date is approximately $972.90 per $1,000 note, reflecting issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate.
Morgan Stanley Finance LLC is issuing $1,857,000 of three-year principal-at-risk structured notes linked to the worst performer of Broadcom, Alphabet (Class C) and Meta (Class A). Each $1,000 security is issued at par, with estimated value on the pricing date of $945.70.
Investors may receive a contingent coupon at an annual rate of 18.65%, but only when all three stocks close at or above their coupon barrier levels, set at 60% of their initial prices. The notes are auto-callable quarterly from July 23, 2026 if every underlier is at or above 100% of its initial level, returning principal plus the applicable coupon.
At maturity in January 2029, if the notes have not been called and each stock finishes at or above its 60% downside threshold, investors receive full principal back, plus any final coupon if payable. If any stock ends below its threshold, repayment is reduced 1% for each 1% loss in the worst performer, and principal can be completely lost. Payments depend on Morgan Stanley’s credit, and the securities will not be listed on an exchange.
Morgan Stanley Finance LLC is offering callable contingent income buffered securities linked to the worst performer of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index. Each note has a $1,000 stated principal amount, with an aggregate principal of $5,003,000, and matures on October 28, 2027.
The notes pay a contingent coupon at an annual rate of 7.90% only if, on each observation date, every index is at or above its coupon barrier level set at 70% of its initial level. Principal repayment is protected only down to a 20% buffer; if the worst-performing index finishes below 80% of its initial level, investors lose 1% of principal for each 1% decline beyond that buffer, with a minimum payment of 20% of principal.
The securities are callable in whole, but not in part, on specified redemption dates starting April 28, 2026, if a risk-neutral valuation model indicates it is economically rational for the issuer to redeem. The estimated value on the pricing date is $982.80 per security versus a $1,000 issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing principal-at-risk "Jump Securities" linked to the worst performer of three State Street sector ETFs: Energy (XLE), Industrials (XLI) and Utilities (XLU). Each note has a $1,000 stated principal amount and the total offering size is $728,000.
The notes may auto-call on January 26, 2027 if each ETF is at or above its initial level, paying an early redemption amount of $1,490 per security. If not called, at maturity on January 26, 2029 investors receive principal plus 150% of the gain of the worst performer if all three finish above their initial levels.
If any ETF ends at or below its initial level but all remain at or above 80% of initial, principal is merely returned. If any closes below its 80% downside threshold, repayment is reduced 1% for each 1% decline of the worst performer and can fall to zero. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, not listed on an exchange, and carry valuation, liquidity, credit, sector concentration and tax-uncertainty risks. The estimated value on the pricing date is $968.50 per security, below the $1,000 issue price.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk contingent income auto-callable securities linked to the worst performer of the Dow Jones Industrial, Russell 2000® and S&P 500® Index. Each security has a stated principal amount and issue price of $1,000.
Investors may receive a contingent coupon at an annual rate of 6.70%, but only when all three indices are at or above their coupon barrier levels (75% of initial levels) on scheduled observation dates. The notes can be automatically redeemed from February 2027 onward if all indices are at or above their call thresholds (100% of initial levels), paying principal plus the coupon for that period.
If the notes are not called and, on the final observation date, each index is at or above its downside threshold (70% of initial level), investors receive principal back plus any final coupon. If any index finishes below its downside threshold, repayment is reduced 1% for each 1% decline of the worst index, potentially to zero. The estimated value on the pricing date is approximately $948.30 per $1,000 security, reflecting issuance, structuring and hedging costs and an internal funding rate.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities due February 4, 2031, linked to the worst performer of the S&P 500® Futures Excess Return Index and the Russell 2000® Index. Each security has a $1,000 stated principal amount, pays no interest and is fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if the final level of each index is at or above 70% of its initial level, investors receive $1,000 plus the greater of index-based upside or a fixed $483 upside payment, a 48.30% gain. If either index finishes below 70% of its initial level, repayment is reduced 1% for every 1% decline in the worst-performing index, with no minimum payment; investors can lose their entire investment.
The estimated value on the pricing date is approximately $973 per security, reflecting issuance, structuring and hedging costs and an internal funding rate that is advantageous to the issuer. The notes are unsecured, not listed on an exchange, subject to Morgan Stanley’s credit risk and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Jump Securities with an auto-call feature linked to the worst performer of three ETFs: the State Street SPDR S&P Regional Banking ETF, the iShares Semiconductor ETF and the iShares 20+ Year Treasury Bond ETF.
Each security has a $1,000 stated principal amount, issue price of $1,000 and aggregate principal of $19,413,000, with an estimated value on the pricing date of $964.40 per security. The notes offer no coupons and are principal at risk.
The securities auto-call if all underliers are at or above their call thresholds on scheduled determination dates, paying early redemption amounts that target approximately 16.00% per annum. If held to maturity without early redemption, investors receive $1,160.00 per security if each final level is at or above its upside threshold.
If any final level is below its upside threshold but all are at or above their downside thresholds (60% of initial levels), repayment is limited to principal. If any final level falls below its downside threshold, repayment is reduced 1% for each 1% decline in the worst performing underlier, and the maturity payment can fall to zero.
All payments depend on Morgan Stanley’s credit. The notes will not be listed, may have limited liquidity, embed dealer commissions of $18.75 per security and are designed for investors willing to accept complex structure, sector and interest-rate risks, and the possibility of losing their entire investment.
Morgan Stanley Finance LLC is offering auto-callable Buffered Jump Securities linked to the worst performer of the VanEck Gold Miners ETF (GDX) and the iShares Silver Trust (SLV), fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, with a total offering of $349,000, and an estimated value on the pricing date of $929.60 per security.
The notes pay no interest and can be automatically redeemed on 29 scheduled determination dates from July 2026 to November 2028 if both underliers are at or above their call thresholds (85% of their initial levels), for fixed cash payments that correspond to roughly 7.50% per annum. If held to December 2028 and both underliers are at or above their thresholds, investors receive $1,218.75 per security; if at least one is below its call threshold but both are at or above its 20% buffer level, investors receive only principal back. If either underlier finishes below its 80% buffer, principal is reduced 1% for each 1% loss of the worst performer beyond the buffer, subject to a minimum payment of 20% of principal.