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 $1,000,000 of structured, principal-at-risk notes due June 21, 2027, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an upside payment of $89.30 (8.93%). The notes reference the S&P 500® Index with an initial level of 7,553.68, a 10% buffer (buffer level 6,798.312) and a downside factor of 1.1111. If the final level is at or above the buffer, investors receive principal plus the upside payment; if below the buffer, losses are amplified by the downside factor and could eliminate principal. The issue price was $1,000 with an estimated value of $985.90 on the pricing date. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC offers $1,229,000 of principal-at-risk structured notes fully and unconditionally guaranteed by Morgan Stanley, with an original issue price of $1,000 per security and an estimated value of $979.30 on the pricing date. The notes pay no interest and return at maturity depends on the performance of the worst performing underlier among the Dow Jones Industrial Average, the Russell 2000® Index and the State Street® Technology Select Sector SPDR® ETF.
At maturity on July 9, 2027 (observation date July 6, 2027), investors receive the stated principal plus a fixed digital payment of $117.50 (11.75%) only if each underlier is at or above its digital threshold (50% of initial levels). If any underlier is below its downside threshold (70% of initial level), payment is the stated principal multiplied by the worst-performing underlier's performance factor (final/initial), so investors can lose up to their entire principal. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk auto-callable securities due March 1, 2028. The issuer (MSFL) and guarantor (Morgan Stanley) are selling securities with a stated principal of $1,000 per security and an aggregate principal amount of $2,095,000. The securities pay a contingent coupon at an annual rate of 21.30% on each coupon payment date only if the underlier’s closing level meets or exceeds the coupon barrier (70%) on the related observation date. The estimated value on the pricing date is $929.20 per security and the issue price is $1,000 per security.
The securities are subject to automatic early redemption on specified determination dates if the underlier’s closing level is at or above the call threshold (90%). At maturity, if not auto-redeemed, investors receive the stated principal only if the final level is at or above the downside threshold (60%); if the final level is below that threshold, principal is reduced pro rata (payment = stated principal × performance factor) and could be zero. All payments are subject to the issuer’s and guarantor’s credit risk. The pricing supplement discloses dealer commissions of $15 per security and an affiliate analytics fee of $0.50 per security.
Morgan Stanley Finance LLC published a preliminary pricing supplement for auto-callable, principal-at-risk securities linked to the worst performing of the Nasdaq-100® Technology Sector, the Russell 2000® Index and the S&P 500® Index. The securities have a $1,000 stated principal amount and an issue price of $1,000 per security with an estimated value on the pricing date of approximately $978.20 per security.
The securities mature on June 15, 2029 and feature automatic early redemption beginning after the first determination date on June 15, 2027, with scheduled early redemption payments that imply about 17.05% per annum if triggered. Call threshold levels equal 100% of initial levels and downside threshold levels equal 70% of initial levels. At maturity investors may receive $1,511.50 if all underliers meet call thresholds, the stated principal if underliers stay above downside thresholds, or a loss proportional to the worst performing underlier (possible complete loss).
All payments are unsecured and subject to Morgan Stanley's credit risk. The securities do not pay interest, do not participate in upside beyond fixed payouts, and are intended for investors willing to risk principal in exchange for potential enhanced fixed returns through early redemption or maturity.
Morgan Stanley Finance LLC priced a structured principal-at-risk note linked to Zscaler, Inc. common stock. The offering consists of securities with a $1,000 stated principal amount and an aggregate principal amount of $500,000. The notes pay a fixed upside payment of $325.70 (32.57%) if the final level is at or above the buffer and provide a 25% buffer (buffer level = $100.778), but otherwise expose investors to a 1.3333 downside factor on losses beyond the buffer.
The notes have a strike date of June 3, 2026, pricing date June 4, 2026, original issue date June 9, 2026, observation date June 16, 2027 and maturity date June 21, 2027. The estimated value on the pricing date was $976.60 per security; the issue price is $1,000 per security. All payments are subject to the issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk auto-callable securities linked to International Business Machines Corporation (IBM) with a stated principal amount of $1,000 per security and an aggregate principal amount of $757,000. The securities pay a contingent coupon at an annual rate of 10.20% on each coupon payment date only if the closing level of the underlier meets or exceeds the coupon barrier on the applicable observation date. The securities are subject to automatic early redemption on scheduled redemption determination dates if the closing level is greater than or equal to the call threshold ($301.77). If not redeemed earlier, at maturity on December 9, 2027 holders receive principal if the final level is at or above the downside threshold ($150.885, 50% of the initial level); otherwise the maturity payment equals the stated principal multiplied by the performance factor (final level / initial level), which could result in a substantial loss of principal, potentially to zero. All payments are subject to the issuer's and guarantor's credit risk. The estimated value on the pricing date was $958.10 per security.
Morgan Stanley Finance LLC priced a $688,000 aggregate offering of Buffered PLUS principal-at-risk securities, each with a $1,000 stated principal amount. The securities mature on July 9, 2027 and reference the worst performing of the EURO STOXX 50® Index and the iShares® MSCI EAFE ETF.
At maturity holders may receive: (a) principal plus a 150% leveraged upside of the worst performing underlier (capped at $1,262.50 per security); (b) the stated principal if the worst performing underlier finishes no worse than 90% of its initial level (the buffer); or (c) a reduced payment that declines dollar-for-dollar beyond the 10% buffer down to a minimum of 10% of principal. All payments are subject to MSFL/Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced contingent-income, auto-callable notes linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal, a 12.00% annual contingent coupon payable only if observation-date barriers are met, and a maturity of June 9, 2031. The notes can be automatically redeemed early if the underlier meets the call threshold; at maturity investors either receive principal (if the final level ≥ the 60% downside threshold) or a reduced cash amount equal to the stated principal × performance factor (final level / initial level). All payments are subject to issuer and guarantor credit risk and the notes do not provide regular interest.
Morgan Stanley Finance LLC priced Principal-at-Risk notes — callable contingent income securities due June 8, 2028 — fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon of 14.25% per annum on each period only if the closing level of each of three sector ETFs (XLI, XLB, XLK) meets its coupon barrier on the observation date. If not called, principal is repaid at maturity only if each underlier is at or above a 70% downside threshold; otherwise payment equals the stated principal multiplied by the performance factor of the worst performing underlier, resulting in potential full loss of principal. The notes are callable beginning September 10, 2026 based on a risk‑neutral valuation model and carry issuer credit risk. Issue price is $1,000 per security and aggregate principal offered is $500,000.
Morgan Stanley Finance LLC is offering Structured Investments — Contingent Income Memory Buffered Auto-Callable Securities due June 9, 2031, fully guaranteed by Morgan Stanley. The securities have a $1,000 stated principal amount, an issue price of $1,000 and aggregate principal of $512,000. They pay a contingent coupon at an annual rate of 12.00% only if the underlier meets the coupon barrier on observation dates. Automatic early redemption can occur beginning with the June 4, 2027 determination date if the underlier is at or above the call threshold of 1,540.87 (100% of the initial level). At maturity investors receive principal if the final level is at or above the buffer level of 1,309.740 (85%); if below the buffer, principal is reduced by the index decline beyond the 15% buffer, subject to a minimum payment of 15% of principal. The estimated value on the pricing date was $900.00 per security. All payments are subject to issuer and guarantor credit risk, model valuation assumptions, limited secondary market liquidity and uncertain U.S. federal income tax treatment.