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 structured, principal-at-risk notes due June 3, 2030, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an original issue price of $1,000. The notes are linked to the worst performing of the Dow Jones Industrial Average, S&P 500® and Russell 2000® indices and include an automatic early redemption feature beginning on the first determination date of June 1, 2027. If not called, payoff at maturity depends on the final level of the worst performing underlier: full principal plus an upside payment when all underliers finish above their initial levels, return of principal if all underliers finish at or above 70% of initial levels, or a proportional loss equal to the decline of the worst performing underlier if it finishes below its 70% downside threshold. The participation rate for upside is 150%. Estimated value on the pricing date was $981.00 per security and the aggregate issuance is $100,000. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering $10,390,000 in Performance Leveraged Upside Securities (PLUS) due July 2, 2027, fully guaranteed by Morgan Stanley. Each PLUS has a $1,000 stated principal, a 300% leverage factor on upside subject to a $1,173 maximum payment, and full downside exposure to basket declines (1% loss in principal per 1% basket decline). The basket comprises five international indices with a pricing date of May 29, 2026 and an estimated value on the pricing date of $970.80 per PLUS. Payments depend on the basket closing value on the valuation date of June 29, 2027; all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC offers Dual Directional Buffered Jump Securities due December 2, 2027, linked to the worst performing of the iShares Silver Trust (SLV) and the SPDR Gold Trust (GLD). The issue price is $1,000 per security and the aggregate principal amount is $100,000. The securities pay no interest and are principal-at-risk: investors may receive a fixed $500 upside payment if the worst performing underlier finishes at or above its initial level, may receive a capped positive payment if the worst performing underlier declines but remains at or above an 80% buffer, or will suffer losses if the worst performing underlier finishes below the 80% buffer, with a 1.25% downside factor applied to declines beyond the buffer. All payments are subject to MSFL's credit risk and are fully guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC is offering $1,375,000 aggregate principal of Trigger PLUS notes linked to the MSCI EAFE® Index. Each security has a stated principal amount of $1,000, an original issue price of $1,000 and an estimated value on the pricing date of $972.
The notes mature on July 2, 2027 with payoff set by the closing index level on the observation date. Upside is leveraged at 200%. The maximum payment at maturity is $1,131 per security (113.10% of principal). If the final level is below the downside threshold of 2,649.935 (approximately 85% of the initial level), principal losses occur on a 1%-for-1% basis and the investment could be entirely lost. Agent commissions are $20 per security; proceeds to issuer are $980 per security.
Morgan Stanley Finance LLC offers Principal-at-Risk Contingent Income Auto-Callable Securities linked to the worst performing of the Dow Jones Industrial Average, the Russell 2000® and the S&P 500®.
The securities have a stated principal amount of $1,000 per security, an issue price of $1,000 per security, and aggregate principal of $17,955,000. They pay a contingent coupon at an annual rate of 9.00% on each coupon payment date only if each underlier is at or above its coupon barrier on the related observation date. The securities 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; early redemption returns the stated principal plus the contingent coupon for that period. At maturity December 2, 2027, if any underlier’s final level is below its downside threshold (70% of its initial level), the payment equals the stated principal multiplied by the performance factor of the worst performing underlier, exposing investors to potential loss of principal (down to zero).
Morgan Stanley Finance LLC priced Principal at Risk Buffered Participation Securities tied to the S&P 500® Index. Each security has a stated principal amount of $1,000 and an aggregate principal amount of $1,758,000. The securities mature on June 4, 2027 with an observation date of June 1, 2027.
At maturity the payout is: full principal plus 100% participation in positive index performance subject to a $1,148 maximum payment; full principal if final index level falls no more than 10% (the buffer); and a pro rata loss beyond the buffer with a 10% minimum payment. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is issuing principal-at-risk structured notes linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index with a stated principal amount of $1,000 per security and aggregate issuance of $190,000. The notes are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley.
The notes feature an automatic early redemption on the first determination date June 1, 2027 if the closing level of the underlier is ≥ the call threshold (3,804.93), producing an early redemption payment of $1,250. If not called, maturity is June 3, 2031 with payoffs that include a participation rate of 350% on appreciation, protection of principal only down to the downside threshold (1,902.465, 50% of initial), and full downside exposure below that level. Issue price is $1,000 with an estimated value on pricing of $945.20.
Morgan Stanley Finance LLC is offering Principal at Risk securities with an aggregate principal amount of $155,000. The securities are buffered, auto-callable notes due June 3, 2031, issued at $1,000 per security with an estimated value of $935.70 on the pricing date.
Payments: automatic early redemption occurs if the underlier meets the call threshold level 1,384.011 on a determination date (first determination date June 1, 2027). At maturity investors receive $1,812.50 if the final level is at or above the call threshold, the stated principal ($1,000) if the final level is at or above the buffer level 1,307.122, or a reduced principal reflecting the performance factor below the buffer (subject to a minimum payment of 15% of principal).
Morgan Stanley Finance LLC issues $344,000 aggregate of Principal at Risk securities fully and unconditionally guaranteed by Morgan Stanley, with a $1,000 stated principal amount per security. The securities are linked to the worst performing of the Nasdaq-100® Technology Sector, the Russell 2000® Index and the S&P 500® Index and feature an automatic early redemption opportunity on the first determination date that pays $1,247.50 per security if each underlier meets its call threshold. If not redeemed, maturity payoffs depend on the worst performing underlier: investors may receive the stated principal plus an upside payment at a 150% participation rate, receive only principal, or suffer losses of 1% for each 1% decline in the worst performing underlier, potentially losing the entire investment. All payments are subject to Morgan Stanley credit risk and the estimated value on the pricing date was $977.50 per security.
Morgan Stanley Finance LLC priced a $1,291,000 aggregate issuance of Buffered PLUS principal-at-risk securities, each with a $1,000 stated principal amount and original issue price of $1,000. The securities reference the S&P 500 Equal Weight Index and the S&P 500 Index and are fully guaranteed by Morgan Stanley.
At maturity on June 2, 2031, payoff depends on the worst performing underlier as measured on the observation date May 28, 2031. Terms include a 170% leverage factor, a 10% buffer, a maximum payment of $1,802.50 per security and a minimum payment equal to 10% of principal. Estimated value on pricing date was $974.90. All payments are subject to the issuer and guarantor credit risk.