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 and is offering market-linked, principal-at-risk securities due June 15, 2028 linked to the lowest performing of Caterpillar, Costco and Starbucks.
Each security has a face amount of $1,000, an estimated value on the pricing date of $954.30 and a contingent fixed return of 28.30% ($283) if the lowest performing underlying stock finishes at or above its 70% threshold. If the lowest performing underlying stock finishes below its threshold, investors absorb losses 1-to-1 beyond a 30% buffer, and may lose up to 70% of face amount. The aggregate face amount offered is $806,000. All payments are subject to Morgan Stanley's credit risk; secondary market liquidity and valuation may be limited.
Morgan Stanley Finance LLC priced market-linked, principal-at-risk securities fully guaranteed by Morgan Stanley. The securities link to the lowest performing stock of Apple, Dell and Tesla, priced June 4, 2026 with a $1,000 face amount and aggregate face amount of $838,000. The contingent fixed return is 26% (=$260 per face amount). The issuer estimates the securities' value at $944.70 on the pricing date. A 30% buffer sets each threshold at 70% of the starting price (AAPL $311.23; DELL $422.05; TSLA $418.45). If the lowest performing underlying closes below its threshold on the calculation day, investors suffer 1-to-1 losses beyond the buffer and may lose up to 70% of principal. Maturity is June 16, 2027; calculation day is June 11, 2027. Price to public is $1,000, agent commission up to $23.25 per security and proceeds to issuer $976.75 per security.
Morgan Stanley Finance LLC offers Principal at Risk securities fully and unconditionally guaranteed by Morgan Stanley. The securities pay a contingent coupon at an annual rate of 10.20% on each coupon date only if the closing level of each underlier meets its coupon barrier on the related observation date. The notes are linked to the worst performing of the IWM Fund, the NDX Index and the SPX Index, feature a call determined by a risk neutral valuation model, and provide principal protection at maturity only if each underlier is at or above its downside threshold (set at 70% of initial level); otherwise payment at maturity equals the stated principal multiplied by the performance factor of the worst performing underlier. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC offers Principal at Risk notes linked to CoreWeave, Inc. class A common stock due June 15, 2028. Each security has a $1,000 stated principal and a contingent coupon feature; estimated value on the pricing date was approximately $949.80.
Coupons (annual 28.75%) pay only if the underlier meets the coupon barrier on observation dates. Automatic early redemption occurs if the underlier meets the call threshold on redemption determination dates. If final level is below the downside threshold (50% of initial level), payment at maturity is reduced pro rata and could be zero. All payments are subject to Morgan Stanley credit risk.
The Dual Directional Buffered PLUS principal-at-risk notes, issued by Morgan Stanley Finance LLC and guaranteed by Morgan Stanley, have a stated principal of $1,000 per security and mature on June 13, 2031. Payment depends on the worst performing of the EURO STOXX 50 and the S&P 500 on the observation date.
Key economic terms: 204% leverage on upside, 50% absolute return participation on limited depreciation, an 80% buffer level (20% buffer amount), an estimated value on the pricing date of approximately $982.10, and a minimum payment at maturity of 20% of principal. All payments are subject to issuer credit risk and the securities pay no interest.
Morgan Stanley Finance LLC offers principal-at-risk, auto-callable notes due June 14, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an issue price of $1,000. The securities may automatically redeem on the first determination date for an early redemption payment of $1,260 on June 15, 2027 if both underliers meet their call thresholds. If not auto-redeemed, maturity payoffs depend on the worst performing of the Nasdaq-100 Futures Excess Return™ Index and the S&P 500® Futures Excess Return Index: investors may receive the principal plus an upside payment (participation rate 150%), only principal, or a principal-loss equal to the percentage decline of the worst performing underlier (downside threshold 70%). The pricing date and strike date were June 9, 2026, original issue date June 12, 2026, and MSFL's estimated value on the pricing date was approximately $981.50 per security. All payments are subject to MSFL’s and Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced a principal-at-risk note called Trigger PLUS linked to the worst performing of the Dow Jones Industrial Average and the S&P 500® Index. Each security has a $1,000 stated principal amount, a leverage factor of 143.75% for upside, an observation date of June 10, 2031 and a maturity date of June 13, 2031. At maturity investors receive either: (1) principal plus a leveraged upside payment if both underliers finish above their initial levels; (2) the stated principal if the worst performing underlier is at or above its downside threshold (75% of initial); or (3) a principal loss equal to the percent decline of the worst performing underlier if that underlier finishes below its downside threshold, with no minimum payment. All payments are subject to MSFL credit risk and the securities are fully and unconditionally guaranteed by Morgan Stanley. The preliminary estimated value on the pricing date is approximately $979.30 per security.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes due July 15, 2027 linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500. Each note has a $1,000 stated principal amount and an upside payment of $112 (11.20%) payable at maturity only if every underlier is at or above its 70% downside threshold on the observation date July 12, 2027. If any underlier finishes below its 70% threshold, the payment equals principal times the performance factor of the worst performing underlier, producing proportional principal loss (possible total loss). Estimated value on the pricing date was approximately $979.50 per security. All payments are subject to MSFL's and Morgan Stanley’s credit risk and tax treatment is uncertain.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk step‑down jump securities due June 27, 2029, fully guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $969.10. The securities feature an automatic early redemption on specified determination dates starting with the first determination date of June 29, 2027, and fixed early redemption payments corresponding to roughly 10.25% per annum on the stated principal for qualifying call outcomes. At maturity investors may receive $1,307.50, the stated principal, or a principal amount reduced pro rata by the performance factor of the worst performing underlier; losses can reach the full principal. The underliers are the iShares® Russell 2000® ETF (IWM) and the S&P® 500 Equal Weight Index (SPW). All payments are subject to Morgan Stanley’s credit risk and the securities do not pay interest.
Morgan Stanley Finance LLC priced a preliminary offering of principal-at-risk, auto-callable notes tied to the Nasdaq-100 Index with a stated principal amount of $1,000 per security. The notes pay no interest, can be automatically redeemed on the first determination date for $1,157.50 if the index is at or above the 100% call threshold, and mature on June 27, 2029. If not called, final payoff depends on index performance: investors receive principal plus an upside payment at a 125% participation rate if the final level exceeds the initial level; receive only principal if the final level is at or above a 70% downside threshold; or incur losses proportional to declines below that threshold, potentially losing the entire investment. All payments are unsecured obligations of MSFL and unconditionally guaranteed by Morgan Stanley and remain subject to the issuer's credit risk.