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 priced principal‑at‑risk notes linked to Broadcom Inc. common stock. Each security has a $1,000 stated principal amount and a capped upside payment of $242.90 (24.29%). The notes include an 80% buffer (buffer level $305.656 vs. initial level $382.07) and a downside factor of 1.25, meaning losses beyond the 20% buffer are amplified by 1.25x. Estimated value on the pricing date was approximately $980 per security; the issue price is $1,000 with agent commissions of $10 per security. Payments at maturity depend solely on the closing level on the observation date and are unsecured obligations of MSFL, fully guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC priced a $1,000,000 offering of structured notes — Principal at Risk Enhanced Trigger Jump Securities — with a stated principal amount of $1,000 per security and an issue price of $1,000 per security. The securities reference the S&P 500® Index, have an initial level of 7,394.30 (closing June 11, 2026), a downside threshold level equal to 80% of the initial level (5,915.44), an observation date of June 11, 2031 and a maturity date of June 16, 2031. At maturity, if the final level is ≥ the downside threshold, holders receive the stated principal plus the greater of the fixed upside payment of $200 (20%) or the cash amount tied to the underlier percent change, capped at a maximum payment of $1,850 (185%). If the final level is below the downside threshold, holders lose 1% of principal for each 1% decline in the underlier and could lose the entire investment. All payments are subject to MSFL and Morgan Stanley credit risk; estimated value on the pricing date was $961.30 per security and selected dealers receive a $30 commission per security.
The issuer Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, is offering Buffered PLUS with Downside Factor securities linked to the worst performing of the Nasdaq-100® Technology Sector Index℠ and the S&P 500® Index. Each security has a stated principal amount of $1,000, an original issue price of $1,000, and an estimated value on the pricing date of $975. The instruments provide 150% leverage on upside of the worst performing underlier but cap returns at a $1,310 maximum payment at maturity. A 15% buffer applies; losses beyond the buffer are multiplied by a 1.1765 downside factor, so investors may lose some or all principal. Payments depend solely on closing levels on the observation date and are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced enhanced buffered jump securities linked to the S&P 500® Index. The offering consists of $1,000 stated principal securities with an aggregate principal amount of $1,300,000, an upside payment of $93 (9.30%) and an estimated value on the pricing date of $985.
These are principal‑at‑risk notes maturing on June 28, 2027 with an observation date of June 23, 2027. A 10% buffer applies (buffer level 6,540.291), and losses beyond the buffer are multiplied by a downside factor of 1.1111. Payments depend on the closing final level on the observation date; there is no minimum payment and investors bear Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering 1,050 securities at a stated principal amount of $1,000 per security (aggregate principal amount $1,050,000) that mature on July 15, 2027 and are fully guaranteed by Morgan Stanley. The securities pay no interest and are principal‑at‑risk: if the S&P 500® Index final level on the observation date of July 12, 2027 is greater than or equal to the downside threshold level (6,176.942, equal to 85% of the initial level), holders receive the stated principal plus a fixed upside payment of $103.10 (a 10.31% return). If the final level is below the downside threshold, the payment is the stated principal multiplied by the performance factor (final level/initial level), and investors may lose some or all principal. The initial level (strike date June 10, 2026) is 7,266.99, the pricing date is June 11, 2026, the original issue date is June 16, 2026, and the estimated value on the pricing date is $983.50 per security. Sales-related fees include an agent commission of up to $10.42 per security and proceeds to the issuer of $989.58 per security. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced a primary offering of contingent income auto-callable securities with an aggregate principal amount of $435,000, issued at $1,000 per security and fully and unconditionally guaranteed by Morgan Stanley. The notes mature on March 16, 2028 and are linked to the worst performing of the QQQ Fund, the S&P 500® Index and the GLD Fund. They pay a contingent coupon at an annual rate of 7.60% only if each underlier is at or above its coupon barrier on observation dates and include automatic early redemption if all underliers meet their call thresholds on a redemption determination date. If any underlier is below its downside threshold at maturity (each downside threshold equals 70% of its initial level), investors will suffer losses proportional to the decline in the worst performing underlier and could lose their entire principal. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC prices an Auto-Callable Trigger PLUS linked to the S&P 500® Index with a stated principal amount of $1,000 per security and a maturity of July 6, 2028. The securities pay no regular interest, carry principal-at-risk and are fully guaranteed by Morgan Stanley. If the index is at or above the initial index value on the first determination date (July 8, 2027), the securities will be auto-redeemed for an early redemption payment of $1,097.80 on the early redemption date (July 13, 2027). If not redeemed, at final determination (June 30, 2028) investors receive either the stated principal plus 125% of upside, the full principal, or a loss pro rata to index decline if the final index value is below the downside threshold (80% of the initial index value), potentially losing all principal. Estimated value at pricing: approximately $966.40.
Morgan Stanley Finance LLC offers capped leveraged buffered basket-linked notes fully and unconditionally guaranteed by Morgan Stanley with an expected term of approximately 14 to 16 months. The notes provide 180% Upside Participation (subject to a cap) and a 10.00% buffer against declines up to 90.00% of the initial basket level.
Key economics set to be fixed on the Trade Date include a Cap Level expected between 109.97% and 111.72% of the initial basket level, a Maximum Settlement Amount expected between $1,179.46 and $1,210.96 per $1,000 face amount, and an estimated Trade Date value of approximately $993.50 per note. Payments at maturity depend on the Final Basket Level versus the Initial Basket Level and are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC is amending a pricing supplement for callable contingent income securities due December 8, 2028, fully guaranteed by Morgan Stanley. The tranche adds $3,526,000 of securities (stated principal $1,000 each) to existing securities to form a single tranche totaling $4,557,000.
The notes pay a contingent annual coupon of 12.50% on each interest period only if the closing level of each underlier is at or above its coupon barrier on the observation date. The securities are linked to the worst performing of the Nasdaq-100 Technology Sector, Russell 2000 and S&P 500. If any underlier is below its downside threshold at maturity, investors suffer losses proportional to the worst performing underlier; principal can be fully lost. The issuer may redeem early based on a risk-neutral valuation model; all payments are subject to issuer credit risk.
The Morgan Stanley Finance LLC preliminary pricing supplement describes a principal-at-risk structured note with a $1,000 stated principal amount per security linked to the worst performing of Eli Lilly common stock and Novo Nordisk ADS. The notes mature on June 22, 2029 with an automatic early redemption test on June 22, 2027. Investors receive $1,411 per security if both underliers meet their 100% call thresholds on the first determination date. If not redeemed, payoff at maturity depends on the worst performing underlier, with a 35% buffer and a 35% minimum payment; downside beyond the buffer results in a proportional loss of principal. Estimated value on pricing date was about $988.20 per security. All payments are subject to issuer and guarantor credit risk and U.S. federal tax treatment is described as uncertain.