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 issuing $26.643 million of Jump Securities with an auto-callable feature, fully and unconditionally guaranteed by Morgan Stanley. These structured notes are linked to the worst performer among three ETFs: the State Street SPDR S&P Regional Banking ETF (KRE), the iShares Semiconductor ETF (SOXX) and the iShares 20+ Year Treasury Bond ETF (TLT).
Each $1,000 note can be automatically redeemed on scheduled determination dates if all underliers are at or above their call threshold levels, paying an early redemption amount that corresponds to a return of approximately 15.50% per annum. If held to maturity and all final ETF levels are at or above their upside thresholds, investors receive $1,155; if any is below its downside threshold (60% of its initial level), principal is reduced 1% for every 1% decline in the worst-performing ETF and can fall to zero.
The securities pay no interest, do not participate in ETF upside beyond the fixed payouts, and are unsecured obligations subject to Morgan Stanley’s credit risk. They are not listed on any exchange, the estimated value on the pricing date is $961 per $1,000 note, and secondary liquidity and pricing may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Performance Leveraged Upside Securities (PLUS) linked to the Russell 2000® Index, maturing on May 5, 2027. Each PLUS has a $1,000 stated principal amount, pays no interest and offers 300% leveraged upside if the index rises, subject to a maximum payment at maturity of $1,202.50 (120.25% of principal).
If the final index value is above the initial index value, investors receive $1,000 plus 300% of the index percent increase, capped at $1,202.50. If the index is unchanged, they receive $1,000. If the index falls, the notes lose 1% of principal for every 1% index decline, with no minimum repayment, so the entire investment can be lost.
The notes are unsecured obligations subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley and will not be listed on any exchange, so secondary trading may be limited. The estimated value on the pricing date is expected to be approximately $968.50 per PLUS, below the $1,000 issue price, reflecting issuing, selling, structuring and hedging costs and an internal funding rate favorable to the issuer.
Morgan Stanley Finance LLC is offering 1.5-year Trigger Jump Securities linked to the common stock of NVIDIA Corporation, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest and is unsecured, with principal at risk.
At maturity, if NVIDIA’s final share price is greater than or equal to its initial share price, holders receive $1,000 plus a fixed upside payment of $396.90 per security, a 39.69% return. If the final share price is below the initial but at or above 70% of the initial share price, the payout is $1,000. If it falls below 70% of the initial level, the payout is $1,000 times the share performance factor, producing 1:1 exposure to the full decline and a potential total loss of principal.
The estimated value on the pricing date is approximately $966.50 per security, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate. The securities will not be listed, secondary trading may be limited, and all payments depend on Morgan Stanley’s creditworthiness. The U.S. federal income tax treatment is uncertain and may change.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering leveraged buffered notes linked to the S&P 500® Index. These principal-at-risk securities do not pay interest and return at maturity depends solely on the index level on a single determination date about 27–30 months after pricing.
For each $1,000 note, investors receive 150% of any positive index return, but this upside is capped, with the maximum settlement amount expected between $1,233.25 and $1,274.35. If the index falls by up to 15.00%, investors receive back $1,000. If it falls by more than 15.00%, losses accelerate at a buffer rate of approximately 117.65% of the decline beyond that level, and investors could lose their entire investment.
The estimated value on the trade date is expected to be about $994.70 per $1,000 note, reflecting issuance, structuring and hedging costs and an internal funding rate that is favorable to the issuer. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and secondary trading, if any, may be limited and at prices below the original issue price.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk "Jump Securities" linked to the worst performer of the Dow Jones Industrial Average and the Nasdaq-100 Index. Each security has a $1,000 stated principal amount and does not pay interest or guarantee repayment of principal.
The notes can be automatically redeemed starting February 2027 if on a determination date both indices are at or above their call thresholds, paying early redemption amounts that correspond to a return of approximately 11.65% per annum (for example, $1,116.50, $1,233.00 or $1,349.50 per security on successive dates). If held to February 2030 and both final index levels are at or above their call thresholds, investors receive $1,466 per security. If either index finishes below its downside threshold (70% of its initial level), repayment is reduced 1% for each 1% decline in the worst-performing index, potentially to zero.
The securities are unsecured obligations, subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and have an estimated value on the pricing date of approximately $983.10 per security, reflecting issuing, selling, structuring and hedging costs and an internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Buffered PLUS notes linked to the Nasdaq-100 Index®. These principal-at-risk securities pay no interest and return depends entirely on index performance at a single observation date on January 18, 2028.
If the index is above its initial level at maturity, investors receive their principal plus 150% of the index gain, capped at a maximum payment of $1,225 per $1,000 security (122.50% of principal). If the index is at or below the initial level but at or above 90% of it, investors receive only their $1,000 principal back. If the index finishes below 90% of the initial level, investors lose 1% of principal for each 1% decline beyond that 10% buffer, with a minimum payment of 10% of principal. The notes are unsecured, not listed on any exchange, their estimated value on the pricing date is expected to be about $970.10 per $1,000, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Trigger PLUS structured notes due February 3, 2028, linked to the S&P 500® Futures Excess Return Index. Each note has a $1,000 stated principal amount, pays no interest and exposes investors to the issuer’s credit risk.
At maturity, if the index is above its initial level, investors receive $1,000 plus 138.50% of the index gain. If the index is between its initial level and the downside threshold at 75% of the initial level, investors receive only the $1,000 principal. If the index finishes below the downside threshold, repayment is reduced 1% for each 1% index decline and can fall to zero.
The notes will not be listed on any exchange, and secondary trading may be limited. The estimated value on the pricing date is approximately $984.30 per security, reflecting issuing, selling, structuring and hedging costs and an internal funding rate that is advantageous to the issuer.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering variable income auto-callable notes due January 24, 2031, linked to the worst performer of Alphabet (GOOGL), Broadcom (AVGO), UnitedHealth (UNH) and NVIDIA (NVDA).
The notes are issued at $1,000 per note and pay monthly coupons at either 0.25% per annum (lower coupon) or 10.75% per annum (higher coupon). The higher coupon is paid only if on each observation date every stock closes at or above its coupon barrier level, set at 80% of its initial level; otherwise only the lower coupon is paid.
Starting January 20, 2027, the notes are automatically redeemed if on a redemption determination date each stock is at or above 95% of its initial level, paying back principal plus the higher coupon. If never called, investors receive the $1,000 principal at maturity plus the final variable coupon.
The notes are unsecured obligations of MSFL, guaranteed by Morgan Stanley, with all payments subject to issuer and guarantor credit risk. The estimated value on the pricing date is approximately $951.70 per note, reflecting issuance, structuring and hedging costs and an internal funding rate, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS, unsecured notes linked to the S&P 500 Index, fully and unconditionally guaranteed by Morgan Stanley and maturing on February 3, 2028. Each note has a $1,000 principal amount, pays no coupons and is not listed on any exchange.
At maturity, if the index is above its initial level, investors receive $1,000 plus 150% of the index gain, capped at a maximum payment of $1,172.50 per note. If the index is flat or down by up to 10%, investors get a positive, unleveraged return equal to the absolute index move, up to a 10% gain. If the index falls more than 10%, investors lose 1% of principal for each 1% drop beyond the buffer, but not less than $100 back.
The notes are “principal at risk” securities; investors can lose up to 90% of principal and are exposed to Morgan Stanley’s credit. The issue price is $1,000, while the estimated value on the pricing date is about $968.80 per note. Sales commissions of $20 and a $5 structuring fee per note are included in the price, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Trigger PLUS notes due February 4, 2031 linked to the worst performer of the Dow Jones Industrial Average and the S&P 500 Index. Each security has a $1,000 stated principal amount, pays no interest and does not guarantee principal.
At maturity, investors receive $1,000 plus a leveraged upside payment if both indexes finish above their initial levels, using a 125.50% leverage factor on the gain of the worst performer. If either index finishes at or below its initial level but both stay at or above 75% of their initial levels, investors receive only the $1,000 principal. If either index closes below its 75% downside threshold, repayment is reduced 1% for each 1% decline in the worst performer and can fall to zero.
The issue price is $1,000 per security, with an estimated value on the pricing date of approximately $944 per security and selling commissions of $30 per security. The notes are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange and may have limited secondary market liquidity.