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 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.
Morgan Stanley Finance LLC is offering Trigger PLUS structured notes that pay no interest and expose principal to market risk. The notes, fully and unconditionally guaranteed by Morgan Stanley, mature on February 4, 2030 and are linked to the worst performer of the Dow Jones Industrial Average and the S&P 500 Index.
If the final level of each index is above its initial level, holders receive $1,000 plus a leveraged upside payment equal to 141% of the gain of the worst-performing index. If either index is at or below its initial level but both remain at or above 75% of their initial levels, investors receive only the $1,000 principal. If either index finishes below its downside threshold (75% of initial), principal is reduced 1% for every 1% decline in the worst-performing index, with no minimum payment, so the entire investment can be lost.
The notes will not be listed on any exchange, and secondary market liquidity may be limited. The issue price is $1,000 per security, while the estimated value on the pricing date is approximately $980.70, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. All payments depend on Morgan Stanley’s credit, and U.S. tax treatment is described as uncertain, with the notes expected to be treated as prepaid financial contracts.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk structured notes linked to the worst performer of the S&P 500® Index and the S&P MidCap 400® Index. Each security has a $1,000 stated principal amount and an issue price of $1,000, with an estimated value on the pricing date of about $962.20 due to embedded fees and funding costs.
The notes can be automatically redeemed on February 8, 2027 for $1,115 per security if, on February 3, 2027, both indices are at or above 100% of their initial levels. If not called and both final index levels are above their initial levels at maturity in February 2029, investors receive principal plus an upside payment equal to 125% of the gain of the worst-performing index. If at least one index finishes at or below its initial level but both stay at or above 70% of initial, investors receive only principal back.
If either index ends below 70% of its initial level, investors lose 1% of principal for each 1% decline in the worst performer and could lose their entire investment. The notes pay no interest, are unsecured, are not listed on any exchange and are subject to Morgan Stanley’s credit risk and complex U.S. tax treatment.
Morgan Stanley Finance LLC is offering $1,000 “Jump Notes” with an auto-call feature linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and S&P 500 Index. The notes pay no interest, are unsecured obligations of MSFL guaranteed by Morgan Stanley, and are scheduled to mature on January 24, 2031.
The notes are automatically redeemed on January 27, 2027 for $1,090 per note if on January 22, 2027 each index closes at or above 100% of its initial level. If not called and at maturity all three final index levels are above their initial levels, holders receive $1,000 plus 100% of the gain of the worst performing index; if any index is at or below its initial level, holders receive only the $1,000 principal. The estimated value on the pricing date is approximately $978.90 per note, and the notes will not be listed on any exchange, with all payments subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Buffered Participation Securities linked to the Russell 2000® Index, maturing on January 30, 2031. Each security has a $1,000 stated principal amount, pays no interest and is an unsecured, principal-at-risk note that will not be listed on any exchange.
At maturity, investors receive $1,000 plus 100% of index gains, capped at a maximum payment of $1,765 per security. If the index is at or below the initial level but at or above 80% of that level, investors receive only the $1,000 principal. Below the 80% buffer, investors lose 1% of principal for each additional 1% index decline, with a minimum payment of 20% of principal.
The issuer’s estimated value on the pricing date is approximately $946.70 per $1,000, reflecting embedded costs and an internal funding rate. The notes are subject to Morgan Stanley’s credit risk, limited secondary market liquidity, risks of small-cap U.S. equities in the Russell 2000®, and uncertain U.S. tax treatment treated as “prepaid financial contracts” under current counsel opinion.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Buffered Jump Securities with an auto-call feature linked to an equally weighted basket of Apple, Amazon, Alphabet, Meta and Microsoft. Each note has a $1,000 stated principal amount, no interest payments and a maturity date of January 19, 2029.
The notes may be automatically redeemed on February 3, 2027 for $1,080 per security if the basket level is at or above 100 on the first determination date. If held to maturity and not called, investors participate in upside at a participation rate of at least 144% when the basket finishes above its initial level, receive principal back if the basket is between 80 and 100, and suffer a leveraged loss of 1.25% for each 1% decline below the 20% buffer, with no minimum payout. The estimated value on the pricing date is approximately $967.30 per security, the notes are unsecured and unlisted, and the tax treatment is expected to follow prepaid financial contract treatment subject to IRS uncertainty.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering long-dated fixed-to-floating callable notes due January 22, 2041 with a stated principal amount and issue price of $1,000 per note.
The notes pay a fixed interest rate of 9.50% per annum from the original issue date to January 22, 2029. After that, they pay a variable rate each quarter equal to 9.50% per annum multiplied by the fraction of days in the period when the 10-Year Constant Maturity Treasury Rate (10CMT) is between 0.00% and 4.50%. On days when 10CMT is outside this range, no interest accrues, so investors could earn little or no interest during the floating period.
Beginning January 22, 2029, the issuer may redeem the notes in whole on quarterly dates at 100% of principal plus accrued interest if a risk neutral valuation model indicates calling is economically rational. 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 approximately $890.00 per note, reflecting issuance, structuring and hedging costs, and for U.S. taxpayers the notes are expected to be treated as contingent payment debt instruments.
Morgan Stanley Finance LLC is offering principal-at-risk Enhanced Buffered Jump Securities maturing on February 25, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and pays no interest.
The return depends on the worst performing of the Russell 2000® Index, the S&P 500® Index and the Nasdaq-100® Technology Sector IndexSM. If, on the observation date, the final level of each index is at or above 85% of its initial level, investors receive the principal plus a fixed upside payment of $103.50 per security, a 10.35% gain. If any index finishes below its 85% buffer level, the maturity payment is reduced by 1% for each 1% decline of the worst index beyond the 15% buffer, with a minimum payment of 15% of principal.
The securities will not be listed on an exchange and are subject to the issuer’s and guarantor’s credit risk. The estimated value on the pricing date is approximately $975.20 per $1,000 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 principal-at-risk contingent income "memory" auto-callable securities due January 25, 2028, linked to the common stock of NVIDIA Corporation. These unsecured notes do not guarantee return of principal and may pay no interest.
The securities offer a contingent coupon at an annual rate of 10.65%, paid only if NVIDIA’s closing level on an observation date is at or above a coupon barrier set at 50% of the initial level. Missed coupons can be paid later if a future observation is at or above the barrier. The notes are automatically redeemed if, on specified dates starting July 20, 2026, NVIDIA closes at or above 100% of its initial level, returning principal plus due and unpaid coupons.
If not called and at maturity NVIDIA is at or above the 50% downside threshold, investors receive full principal plus any payable coupons; if below, repayment is reduced 1% for each 1% decline, potentially to zero. The issue price is $1,000 per security, while the estimated value on the pricing date is approximately $971.50, reflecting issuance, selling, structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes will not be listed, secondary liquidity may be limited, all payments are subject to Morgan Stanley’s credit risk, and U.S. tax treatment (including potential 30% withholding for non‑U.S. holders) is uncertain.