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 securities linked to the Class A common stock of Alphabet Inc. The notes have a $1,000 stated principal amount per security, an aggregate principal amount of $1,165,000, and a fixed coupon of 10.70% per annum paid monthly.
Investors receive the fixed coupons but will only receive principal at maturity if the final level of the underlier on the observation date is at or above the downside threshold of $273.091 (70% of the initial level of $390.13). If the final level is below that threshold, principal is reduced by the performance factor (final level/initial level) and could be significantly reduced or zero. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering structured, principal-at-risk securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a stated principal amount of $1,000, an estimated value on the pricing date of approximately $905.10, a 15% buffer and a minimum payment at maturity equal to 15% of principal. The securities are auto-callable beginning with a first determination date of June 28, 2027 and mature on June 30, 2031. Early redemption payments, if triggered, provide fixed returns shown per determination date. All payments are subject to Morgan Stanley Finance LLC credit risk and the guarantee of Morgan Stanley.
Morgan Stanley Finance LLC is offering callable, principal-at-risk notes linked to the worst performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 and the S&P 500. The securities have a stated principal amount of $1,000 per security and aggregate principal of $680,000.
The notes pay a contingent coupon of 12.00% per annum for each interest period only if the closing level of each underlier on the related observation date is at or above its coupon barrier (70% of initial level). If any underlier is below its downside threshold (also 70% of initial level) at maturity, payment equals the stated principal times the performance factor of the worst performing underlier, which could result in a significant loss or complete loss of principal. The issuer may call the notes on specified redemption dates beginning December 3, 2026 if a risk-neutral valuation model indicates redemption is economically rational; no redemption may occur before that date. All payments are subject to Morgan Stanley's credit risk.
The document is a pricing supplement for Morgan Stanley Finance LLC’s structured notes: Buffered Jump Securities with an Auto-Callable feature due May 31, 2030, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount; the aggregate offering is $500,000. The securities reference three underliers (RSP, IGV and NDX), include a 25% buffer and a 25% minimum payment at maturity, and may be automatically redeemed on preset determination dates for fixed early redemption payments that grow over time.
The securities do not pay interest, are exposed to Morgan Stanley credit risk, are linked to the worst performing underlier (no diversification benefit), and expose investors to potential principal loss if the worst performing underlier finishes below its buffer.
Morgan Stanley Finance LLC is offering Trigger PLUS notes linked to the S&P 500® Index due June 3, 2032 with an aggregate principal amount of $53,910,000. Each Trigger PLUS has a stated principal of $1,000, an issue price of $1,000 and an estimated value on the pricing date of $954.40. The notes pay no interest and provide a leveraged upside equal to 102.25% of any index percent increase; they repay principal only if the final index value is at or above a trigger level set at 75% of the initial index value (initial index value: 7,563.63). If the final index value is below the trigger level, holders suffer proportional losses (1% loss in principal for each 1% index decline), with potential loss of the entire investment. Proceeds are for general corporate purposes and all payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk Buffered Jump Securities due June 30, 2031, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $903.90. The securities feature an automatic early redemption if the underlying S&P® U.S. Equity Momentum 40% VT 4% Decrement Index closes at or above a call threshold (90% of the initial level) on a determination date, producing fixed early redemption payments that correspond to roughly 13.00%–14.00% per annum (actual amounts set on the pricing date). If not redeemed early, maturity payouts depend on the final level: full fixed positive payment if at or above the call threshold, return of principal if at or above the buffer level (85% of initial; buffer amount 15%), or principal reduced pro rata for declines below the buffer (with a 15% minimum payment at maturity). All payments are subject to Morgan Stanley’s credit risk. Determination dates begin June 28, 2027, and the final determination date is June 25, 2031.
Morgan Stanley Finance LLC priced a Preliminary Pricing Supplement for Trigger PLUS notes due July 3, 2031 linked to the worst performing of the Dow Jones Industrial Average and the S&P 500® Index. Each security has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $966.80. The securities pay no interest and provide a leveraged upside (leverage factor to be set on the pricing date between 140% and 155%) if the final level of each underlier exceeds its initial level.
At maturity, payments depend on the worst performing underlier: full principal plus leveraged upside if both underliers finish higher; return of principal if the worst performing underlier finishes at or above 75% of its initial level; or a loss equal to the percentage decline of the worst performing underlier with no minimum payment, possibly resulting in loss of the entire principal. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering auto‑callable, principal‑at‑risk securities linked to the common stock of SoFi Technologies, Inc. with a stated face amount of $1,000 per security and maturity of June 15, 2027. The securities pay contingent monthly coupons only if the underlying closes at or above a coupon threshold equal to 60% of the starting price and will be eligible for automatic call beginning about three months after issuance. The contingent coupon rate will be set on the pricing date and will be at least 27.00% per annum. Pricing and issuance dates shown are June 5, 2026 (pricing) and June 10, 2026 (original issue date). The preliminary pricing shows a public offering price of $1,000, agent commissions up to $15.75 per security and estimated value on the pricing date of approximately $962.70 (± $35.00); proceeds to the issuer were $984.25 per security on the cover page. Investors face full downside exposure if the ending price is below a downside threshold equal to 60% of the starting price and may lose more than 40% (and possibly all) of principal at maturity if the securities are not called.
Morgan Stanley Finance LLC priced a preliminary offering of principal-at-risk, auto-callable securities tied to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each note has a stated principal amount of $1,000, a pricing/strike date of June 25, 2026, an original issue date of June 30, 2026 and a maturity date of June 30, 2031. The notes may auto-redeem on scheduled determination dates beginning July 2, 2027 for fixed early redemption payments that correspond to approximately 16.50%–17.50% per annum (actual amounts set on the pricing date). If not auto-redeemed, payments at maturity depend on the final level versus a call threshold (90% of the initial level) and a downside threshold (60% of the initial level). The underlier includes a 4% per annum daily decrement, intraday rebalancing and use of leverage; the estimated value on the pricing date is approximately $898.30 per security. All payments are subject to MSFL/Morgan Stanley credit risk and the securities do not pay interest or guarantee principal.
Morgan Stanley Finance LLC offers Dual Directional Buffered PLUS principal-at-risk notes due July 3, 2031 linked to the EURO STOXX 50® Index under a preliminary pricing supplement. Each security has a $1,000 stated principal amount and original issue price of $1,000. The securities pay no interest and at maturity provide one of three payments depending on the index performance: (1) if the final level is above the initial level, investors receive principal plus a leveraged upside; (2) if the final level is at or below the initial level but at or above the buffer level, investors receive principal plus a capped positive return tied to the absolute decline; or (3) if the final level is below the buffer level, investors incur losses beyond the buffer on a 1%-for-1% basis, subject to a minimum payment at maturity of 20% of principal. The pricing date and strike date are June 30, 2026, with an estimated value on the pricing date of approximately $964.90 per security. All payments are subject to the issuer’s and guarantor’s credit risk, and the securities are intended for investors willing to risk principal in exchange for leveraged upside and buffered absolute-return features.