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 (MS), through Morgan Stanley Finance LLC, is offering up to $497,000 of unsecured, auto-callable Jump Notes linked to the Morgan Stanley Amplitude Index, with a stated principal amount and issue price of $1,000 per note, fully and unconditionally guaranteed by Morgan Stanley.
The notes pay no interest, may be automatically redeemed on annual determination dates starting August 26, 2027 if the index is at or above a call threshold of 209.626, for fixed early redemption payments from $1,110 to $1,660 per note (about 11% per annum). If not called and the final index level on August 26, 2033 exceeds the initial level of 207.55, holders receive principal plus 100% of index appreciation; otherwise they receive only principal at maturity, subject to issuer and guarantor credit risk.
Morgan Stanley estimates the value on the pricing date at $891.30 per note, below the issue price due to embedded costs. The underlying Amplitude Index is a new, rules-based, multi-asset, volatility-targeted index with 0.65% annual index fee and additional component costs that historically averaged about 1.4% per year on a back-tested basis, which reduce index performance. The notes will not be listed, and U.S. tax treatment is as contingent payment debt instruments with a comparable yield of 5.2579% per annum.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is issuing $4,830,000 of principal-at-risk Step-Down Jump Securities with an auto-call feature due August 30, 2029, linked to the worst of the EURO STOXX 50® and S&P 500® indices. Each security has a $1,000 stated principal amount and issue price.
The notes can be automatically redeemed on scheduled determination dates if both indices are at or above their call threshold levels, paying $1,107.50 per security on the first call date or $1,215.00 on the second, corresponding to about 10.75% per annum. If held to maturity and both indices are at or above their upside thresholds (90% of initial levels), investors receive $1,322.50; if both remain above their downside thresholds (70%), investors receive only principal. If either index finishes below its downside threshold, repayment is reduced 1% for every 1% decline of the worst-performing index, potentially to zero.
The notes pay no interest, provide no participation in index gains, and are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley. The estimated value on the pricing date is $974.00 per $1,000, reflecting embedded fees and the issuer’s pricing models, and liquidity in the secondary market may be limited.
MORGAN STANLEY (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering $2,416,000 of principal at risk Jump Securities with an auto-call feature maturing on August 29, 2031, linked to the worst performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index.
Each security has a $1,000 stated principal amount and may be automatically redeemed on September 8, 2027 for $1,200 per security if, on the first determination date, all three indices are at or above 100% of their initial levels. If held to maturity and not auto-called, investors receive principal plus an upside payment based on 150% of the gain of the worst performing index if all are above initial, only principal if all remain at or above 70% of initial, and a loss of 1% of principal for each 1% decline of the worst performer below its 70% downside threshold, potentially down to zero.
The securities’ estimated value on the pricing date is $952.30 per $1,000, reflecting embedded costs and issuer pricing. Payments depend on Morgan Stanley’s credit; there is no principal guarantee, no periodic interest, limited liquidity, and complex U.S. tax treatment that may change.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering Dual Directional Buffered Jump Securities linked to the S&P 500® Futures Excess Return Index, due August 29, 2031. Each note has a $1,000 principal amount, with an aggregate issuance of $624,000, and pays no interest.
At maturity, if the index is at or above the initial level of 612.01, holders receive principal plus the greater of the index gain or a fixed upside payment of $566 per note. If the index is below the initial level but at or above the 85% buffer level, investors receive principal plus a positive “absolute return” on the decline, capped at a 15% gain. Below the buffer, principal is reduced 1% for each 1% further decline, subject to a minimum payment of 15% of principal.
The notes are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the pricing date of $956.10 per note, below the $1,000 issue price. The securities involve principal risk, limited liquidity, exposure to futures-based index volatility and complex U.S. tax treatment.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk Jump Securities with an auto-call feature maturing on August 30, 2029, linked to the worst performer of the Russell 2000® Index and the S&P 500® Index. The notes are issued at $1,000 per security, with an aggregate principal amount of $465,000, and an estimated value on the pricing date of $969.10 per security, reflecting embedded costs and issuer economics.
The securities may be automatically redeemed on September 8, 2027 for an early redemption payment of $1,130 per security if each index is at or above its initial level. If held to maturity and not called, investors receive principal plus an upside payment based on 150% of the gain of the worst-performing index if both final levels exceed their initial levels, only principal if both are at or above 70% of initial, and a loss of 1% of principal for each 1% decline of the worst-performing index below the 70% downside threshold (potentially down to zero). All payments are unsecured obligations subject to the credit risk of MSFL and Morgan Stanley, and the notes pay no periodic interest and may be illiquid.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering $100,000 aggregate principal amount of Trigger Jump Securities, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and is based on the worst performing of the Russell 2000® Index and the S&P 500® Index.
The notes pay no interest and do not guarantee any return of principal. At maturity on August 31, 2028, if the final level of each index is at or above its initial level, investors receive $1,000 plus a fixed upside payment of $275 (27.5%). If at least one index is below its initial level but both remain at or above 80% of their initial levels, investors receive only $1,000.
If either index finishes below its 80% downside threshold, the redemption is reduced 1% for every 1% decline of the worst performing index, with no minimum payment, so the entire investment can be lost. The estimated value on the pricing date is $973.00 per note, below the $1,000 issue price, reflecting selling, structuring and hedging costs. All payments are subject to the credit risk of Morgan Stanley and MSFL.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering $3,422,000 of Airbag In-Digital Securities linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. Each Security has a $10 principal amount and a term of approximately 18 months, from an August 26, 2026 trade date to a March 2, 2028 maturity.
If the Final S&P 500® level on the February 28, 2028 valuation date is at or above the Digital Barrier/Downside Threshold of 6,908.13 (90% of the Initial Level 7,675.70), investors receive $10 plus a fixed Digital Return of 14.62%, regardless of index appreciation. If the Final Level is below the Downside Threshold, the maturity payment is reduced by 1.111% of principal for each 1% the index has fallen beyond the 10% Threshold Percentage, exposing holders to partial or total loss of principal.
The Securities pay no interest or dividends, cap upside at the Digital Return, and any contingent principal protection applies only at maturity. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley. The estimated value on the trade date is $9.975 per $10 Security, reflecting issuance, structuring and hedging costs embedded in the issue price.
Morgan Stanley, through Morgan Stanley Finance LLC, is offering principal-at-risk Callable Contingent Income Securities due September 28, 2028, linked to the worst performing of the Nasdaq-100 Index, Russell 2000 Index and S&P 500 Index. Each security has a $1,000 stated principal amount.
Investors may receive a contingent coupon at an annual rate of 10.65%, paid on scheduled coupon dates only if on each related observation date all three indices are at or above 70% of their initial levels. There is no minimum number of coupons and it is possible to receive none over the life of the notes.
Beginning March 31, 2027, the notes are callable in whole on specified redemption dates if a risk neutral valuation model indicates early redemption is economically rational for Morgan Stanley; once redeemed, no further payments are made. If the notes are not redeemed and, on the final observation date, any index is below its 70% downside threshold, the maturity payment is reduced in proportion to the decline of the worst performing index and can be zero; otherwise, principal is repaid (plus any final coupon). The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with an estimated value on the pricing date of approximately $980.10 per security, below the $1,000 issue price, and are expected to have limited liquidity and complex, uncertain tax treatment.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Performance Leveraged Upside Securities (PLUS), unsecured notes linked to the EURO STOXX 50® Index and fully and unconditionally guaranteed by Morgan Stanley, maturing on January 5, 2028.
Each PLUS has a $1,000 stated principal amount and pays no interest. If the index rises, investors receive $1,000 plus 300% of the index gain, capped at a maximum payment of $1,213 (121.30% of principal). If the final index value is at or below the initial value, repayment equals $1,000 times the index performance factor, with no downside protection, so the maturity payment can be zero.
The estimated value on the pricing date is approximately $970.10 per PLUS, below the issue price, reflecting embedded distribution, structuring and hedging costs, including a $17.50 sales commission and $5 structuring fee per note. The notes are not listed, secondary liquidity may be limited, all payments are subject to Morgan Stanley’s credit risk, and investors do not receive dividends or other rights on the index components.