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 principal-at-risk, auto-callable notes tied to Apple Inc. common stock with a $1,000 stated principal per security and an aggregate offering of $1,279,000. The securities pay a 9.45% contingent coupon on each coupon payment date only if the closing level of Apple is at or above the coupon barrier ($218.442, 70% of the initial level) on the related observation date. The notes are automatically redeemed early if Apple’s closing level meets or exceeds the call threshold ($312.06, 100% of the initial level) on any redemption determination date beginning November 30, 2026. If not auto‑redeemed, maturity is July 2, 2027 with final observation on June 29, 2027. If the final level is below the downside threshold ($218.442), payment at maturity is reduced proportionally (payment = principal × final level / initial level), and could be significantly less than principal or zero. All payments are subject to issuer and guarantor credit risk; estimated value on the pricing date was $993.50 per security.
Morgan Stanley Finance LLC is offering Buffered PLUS principal-at-risk securities due June 3, 2030 linked to the worst performing of the Russell 2000® and S&P 500® indices. The stated principal amount is $1,000 per security with an aggregate principal amount of $1,717,000. At maturity holders may receive the stated principal plus a 125% leverage on appreciation of the worst performing underlier, receive just the stated principal if declines stay within a 20% buffer, or incur losses beyond the buffer with a minimum payment of 20% of principal. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley, and are subject to issuer credit risk. The securities pay no interest and had an estimated value on the pricing date of $975.90 per security.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes due December 2, 2027, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at an annual rate of 11.25% only when both underliers meet coupon barrier levels on observation dates and may auto-redeem early if both underliers meet call thresholds on redemption determination dates.
The securities are linked to the worst-performing of the Dow Jones Industrial Average (INDU) and the State Street Energy Select Sector SPDR ETF (XLE). Coupon and downside barriers are set at 75% of initial levels; call thresholds equal initial levels. Issue price is $1,000 per security (estimated value on pricing date: $980.40), aggregate offered $145,000. Investors face credit risk of Morgan Stanley, possible loss of principal if the worst-performing underlier falls below its downside threshold, and the possibility of receiving no coupons for the term.
Morgan Stanley Finance LLC is offering Trigger PLUS notes due June 3, 2030, unsecured obligations of MSFL 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 $513,000. Payment at maturity depends on the worst performing of the Dow Jones Industrial Average and the S&P 500® Index: if the worst performing underlier finishes above its initial level investors receive the stated principal plus a 134% leverage on appreciation; if the worst performing underlier finishes between the initial level and a downside threshold (70% of the initial level), investors receive principal only; if the worst performing underlier finishes below the 70% threshold, investors lose 1% of principal for each 1% decline in that underlier, potentially losing their entire investment.
The original issue price is $1,000 and the estimated value on the pricing date was $979.50. All payments are subject to Morgan Stanley’s credit risk; secondary market liquidity may be limited and market prices can be significantly lower than the issue price.
Morgan Stanley Finance LLC is offering $254,000 aggregate principal of Principal-at-Risk auto-callable securities linked to the Dow Jones Industrial Average and the State Street SPDR S&P Regional Banking ETF. Each security has a $1,000 stated principal amount, an 11.00% per annum contingent coupon, a final observation date of February 24, 2028 and maturity on February 29, 2028. Payments are contingent on both underliers meeting barrier levels and principal is at risk: if the final level of either underlier is below its 70% downside threshold, the payment at maturity will be reduced pro rata to the worst performing underlier and could be zero. The securities may be automatically redeemed early on specified observation dates if both underliers meet their call threshold levels. All payments are subject to the credit risk of Morgan Stanley and are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC priced principal-at-risk, auto-callable securities linked to NVIDIA Corporation (NVDA) common stock. The notes have a $1,000 stated principal amount, an issue price of $1,000 per security and aggregate principal of $8,467,000. They pay a contingent coupon at an annual rate of 12.25% on observation dates when the underlier is at or above the coupon barrier and are automatically redeemed early if the closing level meets or exceeds the call threshold. At maturity, if the final level is below the downside threshold (60% of the initial level), investors incur proportional principal loss (performance factor = final level / initial level). All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and are subject to Morgan Stanley credit risk.
The Dual Directional Buffered PLUS securities are unsecured notes issued by Morgan Stanley Finance LLC and fully guaranteed by Morgan Stanley. They have a stated principal amount of $1,000 per security and an aggregate principal amount of $295,000. The securities mature on December 4, 2028 and reference the Nasdaq-100 Index and the S&P 500 Index, with payoffs determined by the worst performing underlier on the observation date of November 29, 2028. Upside is leveraged at 115% of appreciation of the worst performing underlier, capped at a maximum payment of $1,395 per security; an absolute-return feature applies if declines remain within a 10% buffer. If the worst performing underlier falls below its buffer level, holders lose 1% for each 1% decline beyond the buffer, subject to a 10% minimum payment at maturity. The original issue price is $1,000 and the estimated value on the pricing date is $956.80. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced Principal at Risk notes linked to the S&P 500® Futures Excess Return Index due June 3, 2031. Each security has a $1,000 stated principal and was issued at $1,000 with an estimated value of $966.70 on the pricing date. At maturity the payoff depends on the index closing level on the observation date: investors receive principal plus the greater of an index-linked cash return or a fixed upside payment of $577.50 per security if the final level is ≥ the initial level; if the final level is between the initial level and a downside threshold of 70% of the initial level (initial level 609.62), investors receive a capped positive return tied to the absolute decline (100% participation, capped effectively at 30%); if the final level is below the downside threshold investors lose 1% of principal for each 1% decline and could lose their entire investment. Aggregate principal offered is $268,000. All payments are subject to issuer and guarantor credit risk and there is no guaranteed minimum payment.
Morgan Stanley Finance LLC priced principal-at-risk structured notes linked to the worst performing of the Russell 2000® Index and the S&P 500® Index. The securities have a $1,000 stated principal amount, an aggregate principal amount of $1,059,000, a participation rate of 150%, and mature on June 3, 2030. An automatic early redemption can occur on the first determination date of June 8, 2027 for an early redemption payment of $1,182.50 per security if both underliers meet their call thresholds. If not redeemed, the maturity payment depends on the final level of the worst performing underlier relative to its downside threshold (70% of initial level), exposing investors to full downside risk including possible loss of principal.
Morgan Stanley Finance LLC priced a principal-at-risk structured note program offering $1,596,000 aggregate principal of Dual Directional Trigger Jump Securities due June 3, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an issue price of $1,000.
Payments at maturity depend solely on the worst performing of the Russell 2000® and S&P 500® indices measured on the observation date of May 29, 2031. The securities feature a fixed $465 upside payment (46.50%) and a 100% absolute return participation rate when the worst underlier remains above its downside threshold (75% of its initial level). If the worst underlier falls below its downside threshold, investors lose 1% of principal for each 1% decline; there is no guaranteed minimum payment.