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 (guaranteed by Morgan Stanley) is offering Structured Investments — Principal at Risk Contingent Income Memory Auto-Callable Securities linked to the worst performing of IGV, KRE and XLU. The securities issue at $1,000 per security (aggregate $15,640,000), mature on December 21, 2028, and pay a contingent coupon at an annual rate of 17.25% when all three underliers meet coupon barrier levels on observation dates.
The securities may be automatically redeemed on scheduled redemption determination dates beginning December 20, 2027 if each underlier is at or above its call threshold (100% of initial level). If not redeemed, maturity pay‑out returns principal only if each underlier is at or above its downside threshold (80% of initial level); otherwise investors suffer losses equal to the percentage decline of the worst performing underlier. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced contingent income auto-callable securities linked to Microsoft Corporation common stock. The securities have a $1,000 stated principal per security, aggregate principal of $614,000, an estimated value on the pricing date of $973.30, a 12.35% annual contingent coupon, and a June 22, 2029 maturity.
Coupons and early redemption depend on observation and redemption determination dates versus barrier levels: the initial level and call threshold are $379.40 (100%); the coupon barrier and downside threshold are $265.58 (70%). If not auto-redeemed and the final level is below the downside threshold, payment at maturity is reduced pro rata and could be zero. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Structured Investments — Buffered Jump Securities with an Auto-Callable Feature tied to the VanEck® Gold Miners ETF, fully and unconditionally guaranteed by Morgan Stanley. The offering registers an aggregate principal amount of $12,430,000 issued at $1,000 per security with an estimated value on the pricing date of $981.40 per security. The notes pay no interest, carry principal-at-risk with a 20% buffer (buffer level $66.008 from initial level $82.51), a participation rate of 100%, a downside factor of 1.25, an upside payment of $480, and an early redemption payment of $1,240 if the first determination date condition is met on July 1, 2027. The securities are subject to Morgan Stanley’s credit risk, complex payoff mechanics, limited secondary market liquidity, and uncertain U.S. federal tax treatment.
Morgan Stanley Finance LLC priced a $1,286,000 offering of structured, principal-at-risk notes due July 22, 2027. Each note has a stated principal amount of $1,000 and an upside payment of $76 (7.60%) if the worst performing index meets the upside threshold.
Payments at maturity depend solely on the final closing levels on the observation date: investors receive principal plus the upside payment if each underlier is at or above its upside threshold; they receive principal only if all underliers are at or above their downside thresholds; if the worst performing underlier falls below its downside threshold, holders lose an amount equal to the percentage decline of that worst performing underlier. The securities are unsecured obligations of MSFL, fully guaranteed by Morgan Stanley, carry no interest, and have an estimated value on the pricing date of $988.10 per security.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) offers Principal at Risk buffered jump securities linked to the S&P 500® Futures Excess Return Index with a $1,000 stated principal amount per security and an original issue price of $1,000 per security.
The securities feature automatic early redemption on specified determination dates beginning July 6, 2027, a 20% buffer, a minimum payment at maturity equal to $200 (20% of principal) and a capped upside payment of $1,880 if the final level meets the upside threshold. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS notes due June 22, 2029, with principal fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 security is linked to the worst performing of the EURO STOXX 50® and the S&P 500® indices, provides 173% leveraged upside, a 20% buffer and a 20% minimum payment at maturity. Payments depend solely on closing index levels on the observation date of June 18, 2029, and all payments are subject to Issuer and Guarantor credit risk.
Morgan Stanley Finance LLC offers Variable Income Auto-Callable Notes due July 11, 2029, tied to the worst performing of Alphabet (class C), Meta (class A) and Microsoft common stock. Notes pay a variable coupon each period: 7.80% (higher) or 0.25% (lower) depending on observation-date levels, and feature automatic early redemption if all underliers meet 100% call thresholds on a redemption determination date. The stated principal amount is $1,000 per note and the estimated value on the pricing date is approximately $976.40 per note. All payments are unsecured and subject to Morgan Stanley and MSFL credit risk; investors do not participate in underlying appreciation and the notes are linked to the worst performing underlier.
Morgan Stanley Finance LLC is offering callable Contingent Income Securities due June 22, 2029 that are fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon of 12.65% per annum on each period only if the closing level of each of three underliers meets its coupon barrier on the related observation date. If not redeemed early, investors receive principal at maturity only if each underlier’s final level is at or above its downside threshold; otherwise the payment equals the stated principal multiplied by the performance factor of the worst performing underlier, producing losses of 1% for each 1% decline in that underlier. The securities are linked to the worst performing of the Nasdaq-100® Technology Sector (NDXT), the Russell 2000® Index (RTY) and the State Street® Energy Select Sector SPDR® ETF (XLE). The stated principal amount is $1,000 per security and the aggregate principal amount offered is $383,000. The issuer may call the securities on specified redemption dates based on the output of a risk neutral valuation model, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk auto-callable securities linked to the worst performing of the EURO STOXX 50® and the S&P 500®.
The notes have a $1,000 stated principal amount, aggregate offering of $1,500,000, issue price $1,000, estimated value on pricing date $985.80, and maturity on July 6, 2027. They pay a contingent coupon at an annual rate of 9.60% only if both underliers meet coupon barrier levels on observation dates and can auto-redeem early on specified redemption determination dates.
Morgan Stanley Finance LLC priced an offering of principal-at-risk, auto-callable market-linked securities tied to Tesla, Inc. stock. The securities have a face amount of $1,000 each, an estimated value on the pricing date of $966.90 per security and a contingent coupon rate of 15.00% per annum. The starting price for the underlying was $400.49 on the pricing date, with the coupon and downside thresholds set at 60% ($240.294) of that starting price. If not called earlier, the securities mature on June 22, 2029. Payments (contingent coupons and principal at maturity) depend on quarterly calculation-day closing prices versus the stated thresholds; if the ending price is below the downside threshold, investors bear loss equal to the performance factor. The offering economics show a public price of $1,000 per security, agent commissions up to $23.25 per security and proceeds to MSFL of $976.75 per security.