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, fully guaranteed by Morgan Stanley, is offering Contingent Income Auto-Callable Securities due January 26, 2029 linked to U.S. Bancorp common stock. Each security has a stated principal amount of $1,000 and pays a contingent quarterly coupon at an annual rate of 10.73% (about $26.825 per quarter per $1,000) only when the underlying stock is at or above 75% of the initial share price, the downside threshold.
The notes may be automatically redeemed on any of the first eleven quarterly determination dates if the stock is at or above the initial share price, paying back $1,000 plus the coupon for that period. If not redeemed early, maturity outcomes depend on the final share price: at or above the downside threshold, investors receive $1,000 plus the final coupon; below the threshold, repayment is reduced in line with the stock’s decline and can fall to zero, meaning full loss of principal.
The securities do not participate in any stock price appreciation, are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and may have limited liquidity. The estimated value on the pricing date is approximately $966.10 per $1,000 security, reflecting embedded selling, structuring and hedging costs and an internal funding rate, while agents receive $17.50 in sales commissions and a $5 structuring fee per security.
Morgan Stanley Finance LLC is offering market-linked, auto-callable securities that put your principal at risk and are tied to the worst performer of the EURO STOXX 50, Russell 2000 and Nasdaq-100 Technology Sector Index. Each security has a $1,000 face amount and may pay a contingent quarterly coupon at a rate of at least 10.25% per annum, but only when the lowest-performing index on a calculation day is at or above 75% of its starting level.
If, starting six months after issuance, all three indices are at or above their starting levels on a calculation day, the notes are automatically called and repay $1,000 plus a final contingent coupon. If they are not called and on the final calculation day any index finishes below 75% of its starting level, repayment is reduced in proportion to the worst index’s decline, so investors can lose more than 25% and up to all of their investment.
The securities are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, carry significant market, credit, liquidity and tax risks, and have an estimated value on the pricing date of about $960 per $1,000 of face amount due to embedded costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Auto-Callable Securities due January 26, 2029 linked to the Class A subordinate voting shares of Shopify Inc.
Each security has a $1,000 stated principal amount and may pay a contingent quarterly coupon at an annual rate of 12.83% (about $32.075 per quarter) whenever the Shopify share price on a determination date is at least 50% of the initial share price (the downside threshold). Missed coupons may be paid later if this condition is met on a future determination date.
If on any of the first eleven determination dates the share price is at or above the initial share price, the note is automatically redeemed for the principal plus the current and any previously unpaid coupons. If not called, and the final share price is at least the downside threshold, investors receive principal plus all due coupons. If the final share price is below the threshold, repayment is reduced 1-for-1 with the stock’s decline and can be far below 50% of principal, down to zero.
The securities do not offer any upside participation in Shopify shares, are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and may have limited liquidity. The original issue price of $1,000 includes issuance, selling, structuring and hedging costs; the estimated value on the pricing date is about $965.70 per security.
Morgan Stanley Finance LLC is offering Dual Directional Trigger PLUS, 18‑month structured notes linked to the VanEck Gold Miners ETF, fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and pays no interest.
At maturity, if the ETF is above its initial price, investors receive $1,000 plus 200% of the gain, capped at a maximum payment of $1,462.60 per note. If the ETF is flat or down by up to 20%, investors get $1,000 plus the absolute value of the decline, up to a 20% positive return.
If the ETF falls more than 20% (below the 80% trigger level), investors lose 1% of principal for each 1% decline, with no protection and no minimum payment, meaning a total loss is possible. The notes will not be listed, are subject to Morgan Stanley’s credit risk, and have an estimated value on the pricing date of about $960.70, below the $1,000 issue price due to fees and the issuer’s internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Contingent Income Memory Auto-Callable Securities due January 27, 2027, linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and S&P 500 Index.
The notes pay a contingent coupon at an annual rate of 10.30% only when all three indexes close at or above their coupon barrier levels (80% of initial) on scheduled observation dates, with unpaid coupons potentially paid later if the barriers are met. Starting October 20, 2026, the notes auto-call if all indexes are at or above 100% of their initial levels, returning principal plus due and previously unpaid coupons.
If not called and any index finishes below its 80% downside threshold, repayment of principal is reduced 1% for each 1% decline of the worst index and can be zero. The estimated value on the pricing date is approximately $988.10 per $1,000 note, the securities are unsecured, not listed on an exchange, and subject to issuer credit risk, market volatility, liquidity risk and uncertain U.S. tax treatment, including potential withholding for non-U.S. holders.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering contingent income auto-callable notes linked to the worst-performing of Broadcom (AVGO), Robinhood Markets (HOOD), The Home Depot (HD) and Palantir (PLTR). Each note has a $1,000 stated principal amount, with an estimated value on the pricing date of approximately $953.50 per note.
The notes pay a 9.00% per annum contingent coupon, but only if on each observation date the closing level of every stock is at or above its coupon barrier, set at 75% of its initial level. The notes are automatically redeemed if, on any quarterly redemption determination date starting January 27, 2027, each stock is at or above its call threshold level, set at 100% of its initial level, returning principal plus the applicable coupon.
If not redeemed early, investors receive the $1,000 principal at maturity on January 31, 2030, plus a final coupon only if all underliers are at or above their coupon barriers on the final observation date. Investors do not participate in any stock price appreciation and face risks including missing all coupons, issuer credit risk, limited liquidity, and an initial value below the issue price.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,000 principal-at-risk structured notes linked to the worst performer of the SPDR® Gold Trust (GLD) and iShares® Silver Trust (SLV). The notes may be automatically called on February 3, 2027 for an early redemption payment of $1,455 per security if, on January 29, 2027, the closing level of each ETF is at or above 100% of its initial level.
If not called and on January 27, 2028 the final level of each underlier is above its initial level, holders receive principal plus an upside payment equal to 100% of the worst performer’s gain. If at least one underlier is at or below its initial level but both remain at or above 85% of initial, investors receive only the $1,000 principal. If either underlier finishes below 85% of initial, repayment is reduced 1% for each 1% decline of the worst performer beyond the 15% buffer, with a minimum payment at maturity of 15% of principal.
The notes pay no interest, are unsecured obligations of MSFL, are not listed on an exchange, and have an estimated value on the pricing date of approximately $965.90 per security, reflecting issuance, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Trigger Performance Leveraged Upside Securities (Trigger PLUS) linked to a basket of five international equity indices: the S&P®/ASX 200, FTSE® 100, Swiss Market Index®, EURO STOXX 50® and Tokyo Stock Price Index. Each note has a $1,000 stated principal amount, pays no interest and matures on February 5, 2029.
At maturity, if the basket has risen, investors receive $1,000 plus 145.09% of the basket’s gain. If the basket is flat or down but still at or above 80% of its initial value, investors receive $1,000. If the basket closes below this 80% trigger, repayment is reduced one-for-one with the basket’s loss, and the entire principal can be lost. The notes are unsecured, subject to Morgan Stanley credit risk, not listed on any exchange, and have an estimated value of about $956.60 per $1,000 at pricing due to embedded costs and issuer funding assumptions.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Enhanced Trigger Jump Securities due January 27, 2027 linked to the common stock of Broadcom Inc. Each security has a stated principal amount and issue price of $1,000, with an aggregate principal amount of $3,825,000, and pays no interest.
At maturity, if Broadcom’s final stock level on the January 22, 2027 observation date is at or above the downside threshold of $241.479 (70% of the $344.97 initial level), investors receive $1,000 plus a fixed upside payment of $214 per security, a 21.40% return, regardless of how much the stock has risen. If the final level is below the threshold, the payoff is $1,000 multiplied by the stock’s performance factor (final level ÷ initial level), causing a 1% loss of principal for each 1% decline and potentially a total loss.
The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on any exchange and may have limited secondary liquidity. The estimated value on the pricing date is $980.30 per $1,000, reflecting issuance, selling, structuring and hedging costs and the issuer’s internal funding rate. The tax discussion indicates a treatment as prepaid financial contracts is considered reasonable but remains uncertain.
Morgan Stanley Finance LLC is issuing $250,000 of “Jump Securities” with an auto-call feature, at $1,000 stated principal per security, fully and unconditionally guaranteed by Morgan Stanley.
The notes run to January 16, 2031 and are linked to the worst performer of the VanEck Semiconductor ETF, the Nasdaq-100 Technology Sector Index and the Russell 2000 Index. If on any determination date from January 19, 2027 onward all three underliers are at or above their call thresholds (100% of initial levels), the notes are automatically redeemed for a fixed cash amount, rising over time and corresponding to about 15.50% per annum.
If not called, at maturity investors receive $1,775 per security if all final underlier levels are at or above their call thresholds, only $1,000 if all stay at or above 60% downside thresholds, and otherwise an amount that falls 1% for every 1% decline in the worst underlier, potentially zero. The estimated value on the pricing date is $957.10 per security, below the $1,000 issue price, and investors face both market risk and Morgan Stanley credit risk, with no listing and potentially limited liquidity.