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 Contingent Income Memory Auto-Callable Securities linked to Micron Technology, Inc. common stock, with a stated principal amount of $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a contingent coupon at 24.50% per annum, only when the Micron share price on an observation date is at or above a coupon barrier set at 50% of the initial level; missed coupons can be paid later if the barrier is met. The notes may be automatically redeemed on scheduled redemption dates starting July 20, 2027 if Micron’s price is at or above a call threshold of 100% of the initial level, returning principal plus due coupons, after which no further payments are made.
If not called and the final Micron level is at or above the downside threshold of 50% of the initial level, investors receive principal plus any contingent coupon then due; if it is below, repayment is reduced 1% for each 1% decline, potentially to zero. The estimated value is approximately $970.50 per $1,000 security, reflecting issuance, structuring and hedging costs. The securities are unsecured, not FDIC insured, dependent on Morgan Stanley’s credit, and may have limited secondary market liquidity.
Morgan Stanley Finance LLC is offering Trigger PLUS structured notes due July 21, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays no interest, and is an unsecured obligation subject to the issuer’s and guarantor’s credit risk. The notes are linked to the worst performing of the Nasdaq-100 Futures Excess Return Index and the S&P 500 Futures Excess Return Index.
At maturity, if the final level of each index is above its initial level, holders receive $1,000 plus a leveraged upside payment equal to 283.80% of the gain of the worst performing index; for example, a 5% gain would pay $1,141.90 per note. If the worst performing index is between its initial level and its 60% downside threshold, investors receive only the $1,000 principal. If the worst performing index finishes below its downside threshold, principal is reduced 1% for every 1% decline, with no minimum payment; an 85% decline would pay $150. The estimated value on the pricing date is approximately $970.80 per note, reflecting issuance, structuring and hedging costs, and any secondary market is expected to be limited. U.S. federal tax treatment is uncertain and is expected to follow a prepaid financial contract approach.
Morgan Stanley Finance LLC is offering Buffered PLUS notes with a $1,000 stated principal amount per security, linked to the Dow Jones Industrial Average and maturing on August 5, 2031. The notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, holders receive leveraged upside of 125% of index gains, capped at a maximum payment of $1,540 per security, return of principal if the index is flat or down less than the 20% buffer, and a 1-for-1 loss beyond the buffer, with a minimum payment of 20% of principal. The estimated value on the pricing date is approximately $947.50 per security, reflecting issuing, selling, structuring and hedging costs and the issuer’s funding rate. Principal is at risk, returns depend solely on the index level on the July 31, 2031 observation date, and investors are exposed to Morgan Stanley’s credit, limited secondary-market liquidity and uncertain U.S. tax treatment.
Morgan Stanley Finance LLC is offering principal-at-risk Callable Contingent Income Securities maturing on January 25, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 note pays a 13.50% per annum contingent coupon only when all three underliers—the Nasdaq-100 Technology Sector, Russell 2000 and S&P 500 indices—close at or above their coupon barrier levels on scheduled observation dates.
Both the coupon barrier and downside threshold levels are set at 70% of each index’s initial level. If the notes are not earlier redeemed, investors receive principal back at maturity only if every index finishes at or above its downside threshold; otherwise the payoff is reduced 1% for each 1% decline in the worst-performing index, potentially to zero. Beginning October 27, 2026, the issuer may redeem the notes on specified dates, but only when a risk neutral valuation model indicates early redemption is economically rational for Morgan Stanley. The estimated value on the pricing date is approximately $981.10 per security, below the $1,000 issue price, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Contingent Income Memory Auto-Callable Securities linked to the common stock of International Business Machines Corporation. Each security has a $1,000 stated principal amount and an issue price of $1,000.
The notes pay a contingent coupon at 16.50% per annum, but only when IBM’s closing level on an observation date is at or above a coupon barrier equal to 60% of the initial level. Missed coupons may be paid later if the barrier is subsequently met. The securities are automatically called, starting January 21, 2027, if IBM’s level is at or above 100% of the initial level on specified redemption determination dates, returning principal plus due and previously unpaid coupons.
If not called, at maturity on January 25, 2029, investors receive full principal only if the final IBM level is at or above a downside threshold of 60% of the initial level; otherwise, repayment is reduced 1% for each 1% decline in IBM, potentially to zero. The estimated value on the pricing date is approximately $968 per security, reflecting issuance, selling, structuring and hedging costs. All payments are subject to Morgan Stanley’s credit and limited secondary-market liquidity.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities, $1,000 principal-at-risk notes due September 2, 2027, fully and unconditionally guaranteed by Morgan Stanley and linked to the worst performer of the Dow Jones Industrial Average, Russell 2000 Index and S&P 500 Index. The notes pay no interest and have an estimated value on the pricing date of approximately $973.10 per security.
At maturity, if the final level of each index is at or above 75% of its initial level, investors receive the $1,000 stated principal plus a fixed upside payment of $97.50 per security, a 9.75% return, regardless of how much the indices have risen. If any index finishes below its downside threshold, repayment is reduced 1% for every 1% decline of the worst-performing index, with no minimum; the payment can be zero.
The securities are unsecured obligations subject to Morgan Stanley’s credit risk, are not bank deposits and are not insured by the FDIC. Risk factors highlighted include index volatility, limited liquidity, potential conflicts of interest, and uncertain U.S. federal income tax treatment, including possible future changes under Section 871(m) for non-U.S. holders.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities with a stated principal amount of $1,000 per security, linked to Microsoft Corporation common stock and fully guaranteed by Morgan Stanley. The notes mature on July 19, 2028 and are unsecured, principal-at-risk obligations that are not bank deposits or FDIC insured. The original issue price is $1,000, while the estimated value on the pricing date is approximately $976.80 per security, reflecting embedded issuing, selling, structuring and hedging costs.
Investors may receive a 13.00% per annum contingent coupon, paid only if Microsoft’s closing level on an observation date is at or above the coupon barrier and downside threshold of $269.451 (70% of the initial level $384.93). Missed coupons can be “remembered” and paid later if a subsequent observation meets the barrier. The notes are automatically redeemed on specified dates if Microsoft closes at or above the call threshold of $384.93, paying principal plus the applicable coupon and any unpaid coupons, after which no further payments are made. If not called and the final level is below the downside threshold, the maturity payment is reduced in proportion to the decline in the stock, potentially to zero, and all payments remain subject to Morgan Stanley’s credit risk and uncertain tax treatment, including possible 30% U.S. withholding on coupons for certain non-U.S. investors.
Morgan Stanley Finance LLC is offering Contingent Income Auto-Callable Notes due July 29, 2031, fully and unconditionally guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per note. The notes pay a contingent coupon at 11.00% per annum, credited monthly only if on each observation date the closing level of both the iShares Semiconductor ETF (SOXX) and the Roundhill Memory ETF (DRAM) is at or above a coupon barrier set at 60% of its initial level.
The notes may be automatically redeemed on monthly redemption determination dates from July 26, 2027 onward if each underlier is at or above 100% of its initial level, in which case holders receive principal plus the applicable coupon and the notes terminate. If not called, investors receive the $1,000 principal at maturity, plus the final coupon only if both underliers meet the barrier on the final observation date; principal repayment is not reduced by underlier performance but remains subject to the issuer’s and guarantor’s credit.
The structure is based on the worst performing underlier for coupon and call tests, offers no participation in any ETF appreciation, and exposes holders to concentrated risks in semiconductor, memory technology and information technology companies. The estimated value on the pricing date is approximately $972.90 per note, below the $1,000 issue price due to issuance, selling, structuring and hedging costs. The notes will not be listed on any exchange, secondary trading may be limited, and the tax treatment can be complex, including potential treatment as contingent payment debt instruments and considerations under Section 871(m) for non‑U.S. investors.
Mitsubishi UFJ Financial Group, Inc. (MUFG) reports that it may be deemed to beneficially own 380,511,118 shares of Morgan Stanley common stock, including 3,425,951 shares held by affiliates in a fiduciary capacity. This represents 24.12% of the outstanding common stock, based on 1,577,284,817 shares outstanding as of April 30, 2026.
MUFG directly holds 377,085,167 shares and disclaims beneficial ownership of the Managed Shares held for clients. MUFG and Morgan Stanley are party to a 2018 sales plan linked to Morgan Stanley’s share repurchase program, and MUFG has notified Morgan Stanley that sales under this plan will resume, with July 30, 2026 as the first Sale Day.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities due September 3, 2027, linked to the common stock of International Business Machines Corporation and fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and issue price, with an estimated value on the pricing date of approximately $983.60.
The notes pay a 17.00% per annum contingent coupon, only when IBM’s closing price on an observation date is at or above a coupon barrier set at 59% of the initial level; missed coupons can be paid later if that barrier is met. The securities are automatically redeemed at par plus applicable coupons, including any previously unpaid coupons, if IBM is at or above 100% of its initial level on specified redemption determination dates beginning January 29, 2027.
If not called, at maturity investors receive par plus any due coupons when IBM’s final level is at or above a downside threshold at 59% of the initial level. If the final level is below that threshold, the repayment is $1,000 multiplied by the IBM performance factor (final level divided by initial level), exposing investors to the full decline of the stock and a possible total loss of principal. The notes are unsecured obligations subject to Morgan Stanley’s credit, may be difficult to sell in the secondary market, and involve complex and uncertain U.S. tax treatment, including potential 30% withholding on coupons for some non-U.S. investors.