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 auto-callable securities tied to Carvana Co. Class A stock. The offering has a $1,000 stated principal per security, an issue price of $1,000, an estimated value of $928.10 on the pricing date and an aggregate principal amount of $470,000. The securities pay a contingent coupon at an annual rate of 26.50% only if the underlier meets the coupon barrier on observation dates, are subject to automatic early redemption if the underlier meets the call threshold, and expose investors to full downside risk at maturity if the final level is below the downside threshold.
The initial level was $66.51, the coupon barrier and downside threshold are set at $39.906 (60% of the initial level), the first redemption determination date is December 7, 2026, and maturity is June 10, 2031. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to Morgan Stanley's credit risk. The securities do not participate in any appreciation of the underlier and may pay no coupons during the entire term.
Morgan Stanley Finance LLC priced a $3,649,000 offering of Dual Directional Buffered Jump Securities linked to the S&P 500® Index, with each security issued at $1,000 and fully and unconditionally guaranteed by Morgan Stanley. The securities mature on June 10, 2031 and are principal‑at‑risk instruments that pay no interest.
The notes provide a fixed upside payment of $406 per security (40.60%) if the final level is at or above the initial level, an absolute return participation rate of 400% for declines that remain above an 80% buffer level (buffer amount 20%), and a minimum payment at maturity of 20% of principal. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced Principal‑at‑Risk, contingent‑coupon, auto‑callable notes linked to Chewy, Inc. Class A common stock with a $1,000 stated principal per security and aggregate principal of $650,000. The notes pay a 23.50% annual contingent coupon on specified observation dates, are automatically redeemed if the underlier closes at or above $20.64 on a redemption determination date, and return principal at maturity only if the final level is at or above the downside threshold of $12.384 (60% of the initial level). If final level is below the downside threshold, payment at maturity equals the performance factor times principal and could be significantly less than principal or zero. All payments are subject to issuer and guarantor credit risk and U.S. federal tax treatment is stated to be uncertain.
Morgan Stanley Finance LLC priced a $999,000 offering of Principal at Risk securities tied to the S&P 500® Index. Each security has a stated principal amount of $1,000, an estimated value on the pricing date of $979.10, and an upside payment of $291.50 (29.15%).
At maturity on June 10, 2030, if the final level of the index is at or above the buffer level (5,537.805, 75% of the initial level), holders receive principal plus the fixed upside payment. If the final level is below the buffer level, principal is reduced on a 1:1 basis for declines beyond the 25% buffer, subject to a minimum payment of 25% of principal. Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley, and all payments are subject to the issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced market-linked notes due June 11, 2027 that are fully and unconditionally guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount per note and an aggregate principal amount of $335,000. Payment at maturity depends on the S&P 500® Futures Excess Return Index performance versus an initial level of 593.95 on the strike date. Investors receive principal at maturity if the final level is equal to or below the initial level; if the final level is greater, investors receive principal plus 100% participation in appreciation subject to a $1,064 maximum payment per note (106.40% of principal). The notes pay no interest, are unsecured, will not be listed, and carry Morgan Stanley credit risk. The estimated value on the pricing date was $987.00 per note; the issue price is $1,000 per note (agent commissions of $6 per note). Tax treatment is as a contingent payment debt instrument with a comparable yield of 4.2652%.
Morgan Stanley Finance LLC priced a contingent income, memory auto-callable note due June 8, 2029 that is fully and unconditionally guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security and an aggregate principal amount of $527,000. The securities pay a contingent coupon at an annual rate of 9.20% on observation dates when each underlier is at or above its coupon barrier (80% of initial levels). The notes are auto‑callable on multiple redemption determination dates beginning December 7, 2026 if each underlier is at or above its call threshold (100% of initial levels). At maturity, if any underlier is below its downside threshold (60% of initial levels), payment equals $1,000 × performance factor of the worst performing underlier, which could result in a significant principal loss. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering contingent income, principal‑at‑risk notes tied to the common stock of Eli Lilly and Company with a maturity date of June 24, 2027. Each security has a $1,000 stated principal amount and was issued at $1,000 per security with an aggregate principal amount of $3,007,000. The securities pay a contingent coupon at an annual rate of 18.64% only if the closing level of the underlier is at or above the coupon barrier on observation dates; unpaid coupons may be paid later only under specified conditions. The notes include an automatic early redemption feature on specified redemption determination dates and a buffer equal to 15% of the initial level (buffer level = $961.707), but investors bear downside beyond that buffer with a downside factor of 1.1765. The estimated value on the pricing date was $984.70 per security and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities fully and unconditionally guaranteed by Morgan Stanley, with an aggregate principal amount of $3,502,000. Each note has a stated principal amount of $1,000 and an upside payment of $136 (13.60%) payable at maturity if both underliers meet their downside thresholds.
The securities reference the Russell 2000® and S&P 500® indices and repay based on the worst performing underlier on the observation date. If the worst performing underlier closes below its 85% downside threshold, investors lose 1% of principal for each 1% decline; there is no guaranteed minimum payment. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced market-linked, principal-at-risk securities linked to the common stock of Eli Lilly and Company due June 8, 2028. The offering consists of securities with a $1,000 face amount each and total price to public of $1,398,000.
The notes pay a 12.75% per annum contingent quarterly coupon (with a memory feature) only if the Eli Lilly stock closing price on each quarterly calculation day is at or above the coupon threshold (70% of the starting price). The securities are auto-callable beginning in September 2026 if the stock closing price on a calculation day is at or above the starting price.
If not called, at maturity investors receive principal back only if the ending price is at or above the downside threshold (70% of the starting price); otherwise the maturity payment equals $1,000 multiplied by the performance factor and investors may lose more than 30% (possibly all) of their principal. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering Market Linked Securities—Auto-Callable with Contingent Coupon linked to the Class B common stock of NIKE, Inc. The offering lists a price to the public of $1,000 per security, totaling $2,024,000.
The securities pay a 13.35% per annum contingent coupon monthly only if the stock closing price on each monthly calculation day is at or above the coupon threshold of $25.788 (60% of the starting price $42.98). If not called, at maturity on June 15, 2027 principal returned depends on the ending price relative to the downside threshold $25.788; the estimated value on the pricing date was $972.30 per security and all payments are subject to Morgan Stanley credit risk.