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.
The Morgan Stanley (NYSE: MS) SEC filings page on Stock Titan brings together the firm’s regulatory disclosures, including current reports on Form 8‑K and other registered securities information. These filings show how Morgan Stanley communicates material events such as quarterly and annual financial results, capital actions, regulatory capital developments and securities offerings.
Form 8‑K filings frequently cover the release of financial information for specific quarters and for the full year, with press releases and financial data supplements filed as exhibits. Other 8‑K reports describe changes in the firm’s Stress Capital Buffer under the Federal Reserve’s supervisory stress testing framework, providing context on Morgan Stanley’s U.S. Basel III Standardized Approach Common Equity Tier 1 capital requirements.
The filings also list the securities registered under Section 12(b) of the Securities Exchange Act of 1934, including common stock, multiple series of non‑cumulative preferred stock represented by depositary shares, and global medium‑term notes issued by Morgan Stanley or Morgan Stanley Finance LLC, with Morgan Stanley acting as guarantor for certain notes. Additional 8‑K filings describe the approval of forms of master notes for global medium‑term notes and related legal opinions and consents.
On Stock Titan, these SEC documents are updated as they are made available on EDGAR. AI‑powered summaries help explain the key points in lengthy filings, so users can quickly see what each 8‑K, 10‑K or 10‑Q addresses without reading every page. Investors can also use this page to monitor registered securities, preferred stock disclosures and other regulatory information related to Morgan Stanley.
Morgan Stanley Finance LLC is offering callable contingent income memory securities linked to the Class A common stock of Palantir Technologies Inc., fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000, with an aggregate principal amount of $450,000, and an issue price of $1,000 per security.
The notes pay a contingent coupon at an annual rate of 20.00%, but only when the Palantir share price on an observation date is at or above the coupon barrier of $81.125, which is 50% of the initial level of $162.25. Missed coupons can be paid later if the barrier is met, but can be lost entirely if it never is. The notes are callable on set redemption dates if a risk-neutral valuation model shows it is economically rational for Morgan Stanley to redeem.
At maturity on November 30, 2027, if not redeemed early and the final Palantir price is at or above the downside threshold of $81.125, investors receive back principal plus any due coupons. If the final price is below that threshold, repayment is reduced 1% for every 1% decline in the stock from the initial level, potentially resulting in a total loss. The securities are unsecured, subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and had an estimated value on the pricing date of $981.20 per security, below the issue price because of issuing, selling, structuring and hedging costs.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Callable Contingent Income Securities due May 27, 2027 linked to the worst performer of the S&P 500® Index, Nasdaq-100® Technology Sector IndexSM and Russell 2000® Index. Each security has a $1,000 stated principal amount and an aggregate principal of $150,000, with an original issue price of $1,000 and an estimated value on the pricing date of $950.20.
The notes pay an 8.00% per annum contingent coupon only if, on each observation date, all three indices are at or above their coupon barrier levels (80% of initial levels). Principal is at risk: if at maturity any index is below its downside threshold (70% of its initial level), repayment is reduced 1% for each 1% decline of the worst-performing index and can fall to zero.
The notes are callable in whole from May 29, 2026 onward if a risk-neutral valuation model indicates early redemption is economically rational for the issuer. They are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on an exchange, and may have limited or no secondary market liquidity. U.S. tax treatment is uncertain and may be adverse, particularly for non-U.S. investors facing potential 30% withholding on coupons.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable jump securities due November 29, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, within a total aggregate principal amount of $226,000, and is linked to the worst performer of the S&P 500® Index, Nasdaq-100® Technology Sector IndexSM and Russell 2000® Index.
The notes may be automatically redeemed on December 2, 2026 for $1,170 per security if on November 27, 2026 each index is at or above its initial level. If not called, at maturity investors receive principal plus a 150% participation in the gain of the worst-performing index if all three finish above their initial levels, only principal if all stay at or above 70% of their initial levels, and a loss of 1% of principal for each 1% decline of the worst performer below that 70% downside threshold, potentially losing the entire investment.
The securities pay no interest, will not be listed on an exchange, and all payments depend on Morgan Stanley’s credit. The estimated value on the pricing date is $928.40 per security, below the $1,000 issue price due to embedded issuing, selling, structuring and hedging costs and the issuer’s internal funding rate.
Morgan Stanley Finance LLC is offering Jump Notes linked to the BlackRock Adaptive U.S. Equity 5% Index, fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount and issue price of $1,000, with an aggregate principal amount of $100,000, and pays no periodic interest.
At maturity on November 29, 2030, if the index’s final level is at or above the initial level of 1,090.12, investors receive $1,312.50 per note, reflecting a fixed upside payment of $312.50, or 31.25% of principal. If the final level is below the initial level, investors receive only the $1,000 principal, so downside is limited to foregone return rather than loss of principal at maturity.
The notes’ estimated value on the pricing date is $926.20 per note, lower than the issue price because it includes issuing, selling, structuring and hedging costs and uses an internal funding rate. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, will not be listed on any securities exchange, and secondary market liquidity and pricing may be limited.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering market-linked notes tied to the VanEck® Gold Miners ETF with an aggregate principal amount of $3,000,000. The notes are issued at $1,000 per note, pay no periodic interest and mature on November 29, 2030.
At maturity, investors receive $1,000 plus a performance-based amount if the ETF’s final level is above the initial level of $77.96, subject to a maximum payment of $1,630 per note (163% of principal). If the final level is at or below the initial level, only principal is repaid. The participation rate is 100%, and the estimated value on the pricing date is $953.10 per note, reflecting structuring and distribution costs.
The notes are unsecured obligations of Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, are not listed on any exchange, and all payments depend on Morgan Stanley’s credit. Investors face capped upside, no current income, potential illiquidity and risks specific to gold and silver mining equities tracked by the VanEck® Gold Miners ETF.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $1,500,000 of Buffered Jump Securities linked to the MSCI Emerging Markets Index, at $1,000 per security. These are principal-at-risk notes with no interest payments and an automatic early redemption feature.
The notes auto-call on December 7, 2026 if the index is at or above 1,342.10, paying $1,099 per security and then terminating. If held to November 30, 2027 and the final index level is above the initial 1,342.10, holders receive principal plus 125% of the index gain. If the final level is between the initial level and the 15% buffer (down to 1,140.785), investors receive only principal.
Below the buffer, losses are amplified: investors lose 1.1765% of principal for each 1% index decline beyond 15%, and the payment can fall to zero. The estimated value on the pricing date is $975.60 per security, below the $1,000 issue price, reflecting embedded costs and Morgan Stanley’s internal funding rate. The notes are unsecured, subject to Morgan Stanley’s credit, and will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Jump Securities with an auto-call feature linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each note has a $1,000 stated principal amount, with a total offering size of $485,000, and an original issue price of $1,000 per security.
The notes pay no interest and do not guarantee principal. Starting with the first determination date on November 25, 2026, the notes are automatically redeemed if the index closes at or above the call threshold level of 1,014.975 (90% of the initial level 1,127.75), for fixed early redemption payments that correspond to a return of approximately 14.00% per annum, up to $1,688.333 per security on the last call date. If held to maturity and not called, investors receive $1,700 per security if the final index level is at or above the call threshold level.
If the final index level is below the call threshold but at or above the downside threshold level of 676.65 (60% of the initial level), investors receive only principal back. If the final level is below the downside threshold, repayment is reduced 1% for each 1% index decline, and the payment can fall to zero. The notes are unsecured obligations of MSFL, subject to Morgan Stanley’s guarantee, have an estimated value on the pricing date of $899.00 per security, will not be listed on any exchange, and may have limited or no secondary market liquidity.
Morgan Stanley Finance LLC is offering $1,000 face amount, principal-at-risk structured notes due November 29, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a 15.55% per annum contingent coupon, evaluated quarterly, but only if the lowest-performing of the Health Care Select Sector SPDR Fund (XLV), Consumer Staples Select Sector SPDR Fund (XLP), PepsiCo, Inc. stock and UnitedHealth Group stock closes at or above 75% of its starting price on the relevant calculation day. Missed coupons can be “remembered” and paid later if the condition is later met.
Beginning about six months after issuance, the notes are auto-callable quarterly if all underlyings are at or above their starting prices, returning $1,000 plus applicable coupons. If not called, and any underlying is below 75% of its starting price at final valuation, repayment of principal is reduced one-for-one with the decline in the lowest performer and can fall to zero. The notes are not listed, carry Morgan Stanley credit risk and have an estimated value of $959.50 per $1,000 at pricing, reflecting fees and the issuer’s funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $100,000 of Callable Contingent Income Securities, issued at $1,000 per security, linked to the worst performer of the S&P 500, Nasdaq-100 and Russell 2000 indices. These one-year notes, maturing on November 30, 2026, pay a contingent coupon at an annual rate of 10.35% only if, on each observation date, all three indices are at or above their coupon barrier levels, set at 70% of their initial levels.
The notes can be called in whole on specified redemption dates if a risk‑neutral valuation model indicates early redemption is economically rational for the issuer. If not called, investors receive full principal at maturity only if each index finishes at or above its downside threshold (also 70% of its initial level). If any index finishes below its threshold, repayment is reduced 1% for every 1% decline in the worst-performing index, and the return can fall to zero.
The securities are unsecured, not principal-protected, not listed on any exchange and are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is $985.10 per security, lower than the issue price because of issuing, selling, structuring and hedging costs and the internal funding rate used to set the terms.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Memory Buffered Auto-Callable Securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, with an aggregate principal amount of $1,078,000 and a stated principal amount of $1,000 per security. The notes pay a 9.00% per annum contingent coupon, but only if on each observation date the index closes at or above a coupon barrier set at 733.038, approximately 65% of the 1,127.75 initial level; missed coupons can be paid later if the barrier is met.
The securities may be automatically called starting November 24, 2026 if the index is at or above 100% of the initial level, in which case investors receive principal plus due and previously unpaid coupons. If held to November 29, 2030 and not called, principal is protected only down to a 15% buffer (buffer level 958.588); below that, losses match index declines beyond the buffer, with a minimum payment at maturity of 15% of principal. The estimated value on the pricing date is $900.40 per $1,000, reflecting issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate.