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 Trigger PLUS principal-at-risk securities due June 3, 2031, linked to the worst performing of the Dow Jones Industrial Average and the S&P 500® Index. The stated principal amount is $1,000 per security and the aggregate principal offered is $1,045,000. At maturity the payment is determined solely by the worst performing underlier: if higher than its initial level investors receive principal plus a 143% leverage of that underlier's appreciation; if both underliers finish at or above their 75% downside thresholds investors receive principal only; if either underlier finishes below its downside threshold investors lose 1% of principal for each 1% decline in the worst performing underlier, with no minimum payment. All payments are subject to the issuer's and guarantor's credit risk. The securities were priced at $1,000 with an estimated value on the pricing date of $980.70.
Morgan Stanley Finance LLC is offering Trigger PLUS principal-at-risk notes that reference the S&P 500® Futures Excess Return Index and are fully guaranteed by Morgan Stanley. The offering is for $1,938,000 aggregate principal at $1,000 per security with a 5-year term maturing on June 3, 2031.
The notes provide a leveraged upside of 210% if the final index level exceeds the initial level of 609.62. If the final level is at or above the downside threshold (70% of the initial level, 426.734), investors receive principal. If the final level is below that threshold, investors lose 1% of principal for each 1% decline in the index; there is no minimum payment.
Morgan Stanley Finance LLC is offering Structured Investments — market-linked notes tied to the EURO STOXX 50® Index with an aggregate principal amount of $372,000 (issued at $1,000 per note). The notes mature on June 3, 2031 with an observation date of May 29, 2031.
The notes pay no interest and return the stated principal at maturity. If the final level of the underlier exceeds the initial level (initial level = 6,050.54), holders receive the stated principal plus an upside payment equal to the stated principal multiplied by the participation rate of 123% and the underlier percent change. The notes are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley, and all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities due July 2, 2027 that are 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 $4,000,000. Payment at maturity depends on the performance of the worst performing of the Dow Jones Industrial Average and the S&P 500. If both underliers finish at or above their 70% downside thresholds, investors receive the stated principal plus a fixed upside payment of $86.50 (8.65%). If either underlier finishes below its 70% threshold, the maturity payment equals the stated principal multiplied by the worst performing underlier’s performance factor, and investors may lose some or all principal. All payments are subject to Morgan Stanley’s credit risk, there is no interest, and there is no minimum payment at maturity.
Morgan Stanley Finance LLC priced contingent income auto-callable securities linked to the worst performing of the iShares MSCI EAFE ETF (EFA), the Russell 2000 Index (RTY) and the State Street Utilities Select Sector SPDR ETF (XLU). Each note has a stated principal amount of $1,000, an original issue date of June 3, 2026, a maturity date of December 2, 2027 and a final observation date of November 29, 2027.
The securities pay a contingent coupon at an annual rate of 8.75% per annum for each interest period only if the closing level of each underlier on the related observation date is at or above its coupon barrier (80% of initial level). The notes are automatically redeemed early if, on any redemption determination date beginning November 30, 2026, the closing level of each underlier is at or above its call threshold (100% of initial level). At maturity, if the final level of any underlier is below its downside threshold (70% of initial level), investors suffer a loss equal to the percentage decline of the worst performing underlier; the payment could be significantly less than principal or zero. All payments are subject to Morgan Stanley Finance LLC's and Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced Callable Contingent Income Securities due December 2, 2027, linked to the worst performing of the Russell 2000 and S&P 500. The securities carry a contingent coupon of 12.90% per annum, pay principal at risk and feature periodic observation dates, a downside threshold at approximately 75% of each initial level, a call feature tied to the output of a risk neutral valuation model, and are fully guaranteed by Morgan Stanley. The stated principal amount is $1,000 per security and the aggregate offering size is $1,030,000. The pricing date and strike date were May 29, 2026, with an original issue date of June 3, 2026. Investors may receive no coupons and can lose up to their entire principal depending on underlier performance; all payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced Structured Investments Callable Jump Notes with an aggregate principal amount of $152,000, issued at $1,000 per note and fully guaranteed by Morgan Stanley. The notes mature on June 3, 2031, pay no periodic interest and include a call feature beginning June 4, 2027 that permits issuer redemption if a risk‑neutral valuation model indicates redemption is economically rational. If not redeemed, a positive payoff at maturity occurs only when the final level of the S&P 500® Futures Excess Return Index exceeds the initial level; the upside payment equals stated principal × 150% participation × index percent change. All payments are subject to Morgan Stanley's credit risk; estimated value on pricing date was $957.90 per note.
Morgan Stanley Finance LLC is offering Callable Jump Notes due June 3, 2031, guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per note and an aggregate principal amount of $100,000. The notes pay no periodic interest, reference the Russell 2000® and S&P 500®, and use the worst-performing index to determine any upside at maturity.
The notes may be called beginning June 4, 2027 if a risk-neutral valuation model indicates redemption is economically rational; fixed redemption payments are specified for each redemption date. At maturity, if neither index’s final level is above its initial level, investors receive only the stated principal amount. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Dual Directional Buffered Jump Securities due June 2, 2028 with an aggregate principal amount of $4,095,000 and a stated principal amount of $1,000 per security. The securities are linked to the worst performing of Alibaba (BABA), NIKE (NKE) and NVIDIA (NVDA) and are fully and unconditionally guaranteed by Morgan Stanley.
The securities feature an automatic early redemption on the first determination date (June 1, 2027) for an early redemption payment of $1,465 if each underlier is at or above its call threshold. The buffer level is 35%, the upside participation rate is 200%, the absolute return participation rate is 100%, and the minimum payment at maturity is 35% of principal. The original issue price is $1,000 and the estimated value on the pricing date is $961.10. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering callable, principal-at-risk notes due March 3, 2028, fully guaranteed by Morgan Stanley. The offering totals $600,000 in $1,000 securities with an estimated value of $988.40 per security on the pricing date. The notes pay a 15.90% contingent coupon per annum on each coupon payment date only if the closing level of each underlier meets or exceeds its coupon barrier on the related observation date; otherwise no coupon is paid for that period. The securities are linked to the worst performing of three underliers (Nasdaq-100® Technology Sector, Russell 2000®, State Street® SPDR® S&P® Regional Banking ETF) and repay principal at maturity only if each underlier is at or above its downside threshold level (70% of initial levels); otherwise the maturity payment equals the stated principal multiplied by the performance factor of the worst performing underlier, resulting in potential loss of principal (could be zero). The issuer may call the notes on scheduled redemption dates beginning September 3, 2026 if a risk neutral valuation model indicates redemption is economically rational; an early call ends further payments. All payments are subject to Morgan Stanley’s credit risk.