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 Auto-Callable Notes due June 2, 2031, fully guaranteed by Morgan Stanley. Each note has a stated principal amount of $1,000 and an aggregate principal amount of $390,000. The notes pay no regular interest but may pay a contingent coupon of 11.00% per annum for an interest period only if the closing level of each of the three underliers meets or exceeds its coupon barrier level on the related observation date. The notes are automatically redeemed early if on a redemption determination date the closing level of each underlier is at or above its call threshold (each initial level). The value of each note on the pricing date was estimated at $966.70. All payments are subject to Morgan Stanley’s credit risk; the notes are unsecured, will not be listed, and secondary market liquidity may be limited.
The issuer Morgan Stanley Finance LLC is offering five-year Trigger Absolute Return Step Securities due June 16, 2031, fully guaranteed by Morgan Stanley. Each Security has an Issue Price of $10.00 and an estimated Trade Date value of $9.329. Payments at maturity depend on a weighted Basket of five international indices and three outcomes: (1) if the Final Basket Level ≥ the Step Barrier (100), holders receive $10 plus the greater of the Step Return (set on the Trade Date, between 40.00% and 44.90%) or the Basket Return; (2) if Final Basket Level is between the Step Barrier and the Downside Threshold (75), holders receive $10 plus the Contingent Absolute Return; (3) if Final Basket Level < Downside Threshold, holders suffer a principal loss proportional to the negative Basket Return. All payments are subject to issuer credit risk, no interest is paid, and certain pricing, valuation and calculation discretions are vested in Morgan Stanley affiliates.
Morgan Stanley Finance LLC is offering market-linked, auto-callable principal-at-risk securities linked to the iShares® Ethereum Trust ETF with a face amount of $1,000 per security. The securities have a pricing date of June 30, 2026, an original issue date of July 6, 2026, and a stated maturity of July 6, 2029. The securities pay a fixed call payment of at least $1,320 (a call premium of at least 32.00%) if the fund closing price of the underlying is greater than or equal to the starting price on the call date (July 6, 2027). If not called, holders participate at a 150% participation rate in positive fund returns; if the ending price falls below the threshold price (50% of the starting price), holders are exposed to losses that could exceed 50% or result in a total loss. The issuer estimates the securities' value at approximately $936.80 on the pricing date. All payments are subject to the issuer’s and guarantor’s credit risk and the securities do not pay interest or dividends.
Morgan Stanley Finance LLC offers market-linked, auto-callable principal-at-risk securities due July 6, 2029. Each security has a face amount of $1,000 and an estimated value of $958.20 on the pricing date. The securities pay a call payment of $1,120 (a 12.00% call premium) if the lowest-performing underlying is at or above its starting level on the call date of July 6, 2027. If not called, the maturity payment depends on the lowest-performing underlying on the calculation day of July 2, 2029: investors may receive at least a contingent minimum return (at least 50% of face amount, payable only if the lowest performing underlying finishes at or above its starting level), receive the face amount, or suffer losses (including losses greater than 30%) if the lowest-performing underlying falls below its threshold level (70% of starting). The pricing date is June 30, 2026, original issue date July 6, 2026, and agent commissions are $25.75 per security, with proceeds to issuer shown as $974.25 per security.
Morgan Stanley Finance LLC is offering 382 securities at a stated principal amount of $1,000 per security (aggregate principal amount $382,000) of Principal at Risk, Contingent Income Memory Auto-Callable Securities due June 2, 2031, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at an annual rate of 17.00% on coupon payment dates only if the closing level of each underlier meets its coupon barrier.
The securities are linked to the worst performing of the Roundhill Memory ETF (DRAM Fund) and the VanEck® Gold Miners ETF (GDX Fund). They feature automatic early redemption on specified dates if both underliers meet call thresholds, payment at maturity tied to the worst performing underlier (investors can lose principal if the worst performing underlier falls below its 50% downside threshold), an estimated initial value of $935.00 per security, and an issue price of $1,000 (agent commission $8, proceeds to issuer $992 per security).
Morgan Stanley Finance LLC priced contingent-income, memory auto-callable notes linked to AST SpaceMobile Class A common stock with a stated principal amount of $1,000 per security and an aggregate principal amount of $476,000. The securities issue at $1,000 with an estimated value of $903.80 on the pricing date.
The notes mature on June 2, 2031 (final observation May 28, 2031), carry a contingent coupon at an annual rate of 25.15%, are automatically callable if the underlier closes at or above the call threshold of $133.09 on any redemption determination date, and use a coupon barrier and downside threshold equal to $66.545 (50% of initial level). Principal is at risk: if the final level is below the downside threshold, the maturity payout equals the stated principal multiplied by the performance factor and could be significantly less than, or equal to, zero. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced Principal-at-Risk, contingent-income auto-callable securities linked to Workday, Inc. Class A common stock. The securities have a $1,000 stated principal amount, aggregate principal amount of $855,000 and an estimated value on the pricing date of $967.50. They pay a contingent coupon at an annual rate of 19.00% on observation dates when the closing level of the underlier meets the coupon barrier.
Automatic early redemption may occur on specified dates if the closing level meets the call threshold of $130.01. At maturity, if the final level is below the downside threshold of $65.005 (50% of initial level), investors suffer proportional principal loss (payment = principal × performance factor). All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC offers a preliminary pricing supplement for Principal at Risk, contingent income, memory auto-callable securities linked to the worst performing of the iShares Silver Trust (SLV), the Nasdaq-100 Technology Sector Index (NDXT) and the Russell 2000 Index (RTY). The securities have a stated principal amount of $1,000 per security, an original issue price of $1,000, a maturity date of July 6, 2029 and a final observation date of July 2, 2029. They pay a contingent coupon determined on the pricing date at an annual rate in the range of 9.50% to 10.50%, but coupons are paid only if all underliers meet their coupon barrier levels on observation dates; unpaid coupons may only be paid later if all underliers then meet barrier levels. Automatic early redemption is possible on scheduled redemption determination dates if every underlier meets its call threshold; otherwise investors face principal loss equal to the decline of the worst performing underlier and may lose their entire investment. All payments are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley; investors remain exposed to issuer credit risk.
The issuer, Morgan Stanley Finance LLC, priced a preliminary offering of principal-at-risk notes linked to the worst performing of the iShares Silver Trust (SLV), the Nasdaq-100 Technology Sector (NDXT) and the Russell 2000 (RTY). The notes have a $1,000 stated principal per security, an original issue price of $1,000, a pricing/strike date of June 30, 2026, an issue date of July 6, 2026 and maturity on July 6, 2029.
The securities pay a contingent coupon only if each underlier is at or above its coupon barrier on observation dates; the coupon rate will be set on the pricing date and is indicated as between 12.50% and 13.50% per annum in this preliminary document. Automatic early redemption can occur on scheduled redemption determination dates if each underlier is at or above its call threshold; if not redeemed, payment at maturity depends on the worst performing underlier and may result in loss of principal if any underlier is below its downside threshold (set at 60% of initial level in the terms shown).
Morgan Stanley Finance LLC priced callable structured notes linked to the S&P 500® Futures Excess Return Index with a $1,000 stated principal per note and an original issue price of $1,000. The notes do not pay interest, mature on June 30, 2031, and include a call feature beginning on July 1, 2027 where Morgan Stanley may redeem if a risk‑neutral valuation model shows redemption is economically rational. If not redeemed, maturity payment is principal plus an upside payment equal to stated principal × 140% × index percent change when the final level exceeds the initial level; otherwise holders receive only principal. The estimated value on the pricing date is approximately $934.60 per note. All payments are subject to Morgan Stanley's credit risk and the notes will not be listed on any exchange.