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, 2031, fully and unconditionally guaranteed by Morgan Stanley. The securities (stated principal amount $1,000 each) return at maturity is tied to the worst performing of the Dow Jones Industrial Average, Nasdaq-100 and Russell 2000. If the worst performing underlier on the observation date is at or above its 70% downside threshold, investors receive principal plus the greater of the worst-underlier percent change or a $460 upside payment. If any underlier is below its 70% threshold, investors suffer a pro rata loss of principal (1% loss for each 1% decline), with no minimum payment and potential total loss of principal. The issue price is $1,000 (estimated value on pricing date $973.20), aggregate principal offered is $628,000, and commissions/fees reduce proceeds to the issuer.
The issuer Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, priced an Auto-Callable Trigger PLUS due June 3, 2031 linked to the EURO STOXX 50® Index. The offering aggregates $20,107,000 of notes at a stated principal of $1,000 each. The securities pay no interest, carry principal-at-risk and will auto-redeem on 6/8/2027 (payment 6/11/2027) if the index closing value on the first determination date is at or above the initial index value, triggering a cash payment of $1,170.10 per security. If not called, maturity outcomes depend on the final index value: upside participation of 150% of index appreciation above the initial index value, full return of principal if the final index value is ≥ the downside threshold (75% of initial), or a proportional loss below that threshold (down to zero). The estimated value on pricing date was $955.60 per security. All payments are subject to issuer credit risk and the calculation agent is MS & Co..
Morgan Stanley Finance LLC priced a $640,000 offering of Principal at Risk Buffered Jump Securities due June 3, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, an issue price of $1,000 and an estimated value on the pricing date of $977.50.
The securities are linked to the worst performing of the Nasdaq-100® Technology Sector Index, the Russell 2000® Index and the S&P 500® Index; they feature a 20% buffer, a 150% participation rate for upside, automatic early redemption on the first determination date and a minimum payment at maturity equal to 20% of principal.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes linked to the worst performing of the EURO STOXX 50®, Russell 2000® and S&P 500®. The securities carry a $1,000 stated principal amount and $1,312.50 fixed early redemption payment if all underliers meet call thresholds on the first determination date. At maturity investors either receive principal plus an upside payment (150% participation on the worst performing underlier), principal only, or a reduced payment proportional to the decline of the worst performing underlier, potentially losing the entire principal. All payments are unsecured and subject to Morgan Stanley’s credit risk. The first determination date is June 8, 2027 and maturity is June 3, 2030. The aggregate principal amount offered is $2,196,000.
The pricing supplement describes Morgan Stanley Finance LLC's offer of Dual Directional Buffered Participation Securities due September 2, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an aggregate principal amount of $2,045,000. The securities reference the Dow Jones Industrial Average and the S&P 500 Index and pay at maturity based on the worse-performing index on the observation date of August 30, 2027. Terms include a 19% buffer (buffer level = 81% of initial), a 100% upside participation rate subject to a $1,116.50 maximum upside payment, and a minimum payment at maturity of 19% of principal. The initial levels (strike date May 29, 2026) are INDU 51,032.46 and SPX 7,580.06. Estimated value on the pricing date was $987.40 per security. All payments are subject to issuer and guarantor credit risk; holders may lose a significant portion of principal if the worst-performing underlier falls below the buffer.
Morgan Stanley Finance LLC priced a contingent-income, principal-at-risk note—auto-callable and guaranteed by Morgan Stanley—linked to the worst performer of the Nasdaq-100® Technology Sector (NDXT) and the S&P 500® (SPX). The securities have a stated principal amount of $1,000 per security and an original issue price of $1,000. They pay a contingent coupon at an annual rate of 11.00% only if both underliers meet coupon barrier levels on observation dates. The securities may be automatically redeemed on specified determination dates for the stated principal plus the contingent coupon. If not redeemed, maturity payment is the stated principal if both underliers are at or above the 80% downside thresholds; otherwise the payment equals the stated principal × performance factor of the worst performing underlier, which can result in a substantial loss or zero. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced principal at risk notes due July 2, 2027 linked to the worst performing of the Russell 2000® and the S&P 500®. The offering totals $6,638,000 at a stated principal amount of $1,000 per security and an issue price of $1,000 per security.
The securities pay no interest. At maturity investors receive $1,000 + $101 if both underliers finish at or above their downside thresholds (70% of initial levels). If the worst performing underlier finishes below its downside threshold, the payment equals the stated principal amount multiplied by the underlier's performance factor, so investors may lose up to their entire principal. All payments are subject to MSFL's and Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced Structured Investments — Contingent Income Memory Buffered Auto-Callable Securities linked to Blackstone Inc. common stock. The securities are $1,000 principal per security, issued at $1,000 with an estimated value of $962, pay a contingent coupon only if observation-date levels meet a barrier, include an automatic early redemption feature, and return principal at maturity only if the final level meets the buffer; otherwise loss applies beyond a 24% buffer, with a 24% minimum payment.
Morgan Stanley Finance LLC is offering $737,000 aggregate principal amount of contingent income principal‑at‑risk securities, fully and unconditionally guaranteed by Morgan Stanley. The $1,000‑per‑security notes pay a contingent coupon of 7.20% per annum on observation dates if each underlier meets its coupon barrier and mature on December 2, 2027. The securities are linked to the worst performing of the S&P 500, Dow Jones Industrial Average and Russell 2000, use a 60% coupon barrier/downside threshold (measured from the strike levels on May 29, 2026), and expose investors to potential loss of principal proportional to the worst underlier’s decline. The estimated value on the pricing date was $990.00 per security and the issue price is $1,000.
Morgan Stanley Finance LLC priced Buffered PLUS notes due June 1, 2029, fully guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security and aggregate principal amount of $1,257,000. They reference the iShares Expanded Tech-Software Sector ETF (IGV) with an initial level of $101.66 (strike date May 29, 2026) and an observation date of May 29, 2029.
Key economic terms: leverage factor 150%, maximum payment $1,610 (161% of principal), buffer 20% (buffer level $81.328), and minimum payment 20% of principal. The estimated value on the pricing date was $980.40. The notes pay no interest; at maturity returns depend solely on the closing final level relative to the initial level and buffer, and investors bear credit risk of MSFL and Morgan Stanley.