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 is offering $2,445,000 of Enhanced Trigger Jump Securities linked to Micron Technology, Inc. common stock, fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays no interest and matures on August 12, 2027.
At maturity, if Micron’s closing price on the observation date is at or above the downside threshold level of $469.19, investors receive $1,000 plus a fixed upside payment of $452.30 per security, a 45.23% return, regardless of how much Micron has risen or fallen within that range. If the final level is below the threshold, repayment is $1,000 multiplied by the performance factor (final level divided by the $938.38 initial level), producing a 1% loss of principal for each 1% decline in Micron, with no minimum payment and potential total loss.
The original issue price is $1,000 per security, including $10.42 in placement fees, while the issuer’s estimated value on the pricing date is $979.90, reflecting embedded costs and its own pricing models. The notes are unsecured obligations subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, may be illiquid in the secondary market, and involve complex, uncertain U.S. tax treatment.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Securities due July 12, 2029, linked to the worst performer among the common stocks of Apollo Global Management, Ares Management and Blackstone. Each security has a $1,000 stated principal amount, issue price of $1,000 and aggregate principal of $1,930,000, and is fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at 22.20% per annum, only if on each observation date all underliers close at or above their coupon barrier levels, set at 60% of their initial levels. The notes are auto-callable quarterly starting July 8, 2027 if all underliers are at or above their call thresholds (100% of initial levels), returning principal plus the applicable coupon. If not called, and at maturity any underlier is below its downside threshold (also 60% of initial), investors lose 1% of principal for each 1% decline in the worst performer, potentially losing their entire investment. The estimated value on the pricing date is $964.50 per security, below the issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Memory Buffered Auto-Callable Securities due June 13, 2029 linked to the worst performer of the State Street SPDR S&P Metals & Mining ETF (XME) and the VanEck Gold Miners ETF (GDX). Each security has a stated principal amount and issue price of $1,000, with an aggregate principal amount of $1,624,000 and an estimated value on the pricing date of $953.70, reflecting embedded fees and hedging costs.
The notes pay a 7.25% per annum contingent coupon, evaluated on scheduled observation dates, only if the closing level of each ETF is at or above its coupon barrier (50% of its initial level). Missed coupons may be “caught up” later if both ETFs are again at or above their barriers, but investors could receive few or no coupons over the term.
The securities are automatically called if, on any redemption determination date from January 8, 2027 onward, each ETF is at or above its call threshold (100% of initial level), returning principal plus the relevant coupon and any unpaid coupons. If held to maturity and not called, investors receive full principal only if each ETF’s final level is at or above its buffer level (80% of initial). If either is below its buffer, repayment is reduced 1% for each 1% decline of the worst performer beyond the 20% buffer, subject to a minimum payment of 20% of principal, exposing investors to substantial loss of capital. All payments are unsecured and subject to Morgan Stanley’s and MSFL’s credit risk, and secondary market liquidity may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Dual Directional Jump Securities linked to the S&P 500® Futures Excess Return Index, maturing on July 21, 2031. Each security has a stated principal amount and issue price of $1,000 and an estimated value on the pricing date of approximately $940.90.
The notes can be automatically redeemed starting July 23, 2027 if the index is at or above a call threshold equal to 100% of the initial level, paying early redemption amounts such as $1,100 or $1,200 per security for returns of about 10% per annum. If held to maturity, investors receive leveraged upside at a 125% participation rate when the final level is above the initial level, and a dual-direction feature that can provide up to a 30% positive return when the index moves up or down but finishes at or above a downside threshold set at 70% of the initial level. Below this threshold, investors lose 1% of principal for each 1% index decline and may lose their entire investment. All payments depend on Morgan Stanley’s credit, and the July 8, 2026 index closing level was 599.18.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $20,657,050 of Trigger GEARS linked to a weighted basket of the S&P MidCap 400 Index (80%) and EURO STOXX Mid Index (20%) maturing on July 11, 2031. Each Security has a $10 principal amount. If the Basket Return is greater than zero, holders receive $10 plus $10 multiplied by the Basket Return and the Upside Gearing of 1.1225. If the Basket Return is less than or equal to zero but the Final Basket Level is at or above the Downside Threshold of 75, investors receive $10 back. If the Final Basket Level is below 75, repayment is $10 plus $10 times the Basket Return, exposing investors to proportionate losses up to a 100% loss of principal. The notes pay no interest or dividends, have an estimated value on the trade date of $9.362 per $10, and all payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Leveraged Buffered S&P 500 Index-Linked Notes due August 11, 2027. The notes pay no interest and return at maturity depends on the S&P 500 Index performance from the July 8, 2026 strike date to the August 9, 2027 determination date.
For each $1,000 note, investors receive 150% of any positive index return, but payments are capped at a Maximum Settlement Amount of $1,151.50
The notes are unsecured obligations of MSFL with a Morgan Stanley guarantee, exposing holders to issuer credit risk. They will not be listed, and secondary trading may be limited. The issuer’s estimated value on the trade date is approximately $985.70 per $1,000 note, reflecting embedded costs and an internal funding rate that is advantageous to the issuer.
Morgan Stanley Finance LLC is offering Enhanced Dual Directional Buffered Jump Securities linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. These $1,000-denomination notes pay no interest and expose investors to principal risk.
At maturity on February 3, 2028, if the index is at or above its initial level, holders receive $1,070 per security, reflecting a fixed $70 digital payment. If the index is below the initial level but at or above 93% of that level, investors receive $1,000 plus $70 plus an additional amount based on the index’s percentage decline, with the total positive return effectively capped at 14%. If the index is below 93% but at or above 80% of the initial level, investors receive $1,000 plus an absolute return on the decline, effectively capped at a 20% positive return. Below 80% of the initial level, principal is reduced 1% for each 1% decline beyond the 20% buffer, but not below a minimum payment of 20% of principal. The estimated value on the pricing date is approximately $970.40 per security, reflecting issuance, selling, structuring and hedging costs and the issuer’s credit spreads.
Morgan Stanley Finance LLC is offering Trigger PLUS structured notes linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and S&P 500 Index. The notes have a $1,000 stated principal amount and an aggregate principal amount of $200,000, pay no interest and mature on July 12, 2029.
At maturity, if the final level of each index is above its initial level, holders receive principal plus a leveraged upside payment equal to 155% of the worst-performing index’s gain. If any index finishes at or below its initial level but all remain at or above 70% of their initial levels, investors receive only principal. If any index falls below its 70% downside threshold, repayment is reduced 1% for every 1% decline in the worst-performing index, with no minimum; the investment can be lost in full.
The securities are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, and are subject to their credit risk. The estimated value on the pricing date is $968.40 per security, below the $1,000 issue price due to issuance, selling, structuring and hedging costs and the issuer’s funding rate. Liquidity is expected to be limited and tax treatment is complex.
Morgan Stanley Finance LLC is offering Structured Investments Buffered PLUS notes due July 11, 2031, linked to the S&P 500® Futures Excess Return Index and fully and unconditionally guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per security and an aggregate principal amount of $3,341,000, with an issue price of $1,000 per security.
At maturity, investors receive leveraged upside if the final index level is above the initial level of 599.18, with a 179% leverage factor on positive index performance. Principal is fully returned if the final level is between the initial level and the buffer level of 479.344, which is 80% of the initial level. Below the buffer level, investors lose 1% of principal for each 1% decline beyond the 20% buffer, subject to a minimum payment at maturity of 20% of principal.
The securities pay no interest and expose investors to the credit risk of Morgan Stanley and MSFL, potential loss of principal, market volatility in the S&P 500® Futures Excess Return Index and limited liquidity. The estimated value on the pricing date is $944.80 per security, reflecting issuance, selling, structuring and hedging costs borne by investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk “Jump Securities” due July 20, 2029 linked to the worst performer of the Dow Jones Industrial Average, the Russell 2000 Index and the State Street Technology Select Sector SPDR ETF. Each security has a $1,000 stated principal amount and issue price, while the estimated value on the pricing date is approximately $962.80 per security, reflecting embedded costs.
The notes offer an automatic early redemption on July 23, 2027 for $1,254 per security if, on July 20, 2027, each underlier’s closing level is at or above its call threshold, set at 100% of its initial level. If not redeemed and, at maturity, each underlier finishes above its initial level, investors receive $1,000 plus an upside payment equal to 175% of the gain of the worst performing underlier. If any underlier finishes at or below its initial level but all remain at or above 60% of their initial levels, only principal is returned.
If, at maturity, any underlier closes below its 60% downside threshold level, repayment is reduced dollar-for-dollar with the percentage decline of the worst performer, potentially to zero. The securities pay no interest, are unsecured obligations subject to Morgan Stanley’s credit risk, may be illiquid, and carry complex U.S. federal income tax treatment, including potential application of the constructive ownership and Section 871(m) regimes.