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 28, 2029 that are fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $950.10.
The notes pay a contingent coupon (annual rate to be set on the pricing date, indicated at 9.00% to 10.00% range) only if, on each observation date, the closing level of each underlier is at or above its coupon barrier (each coupon barrier is 80% of initial level). The securities permit automatic early redemption on specified redemption determination dates if every underlier is at or above its call threshold (100% of initial). At maturity, if any underlier is below its downside threshold (70% of initial level), payment equals $1,000 multiplied by the performance factor of the worst performing underlier, and principal may be substantially reduced or zero. The notes are linked to the worst performing of the EURO STOXX 50®, Russell 2000® and S&P 500® indices and carry issuer credit risk.
Morgan Stanley Finance LLC priced principal-at-risk, auto-callable securities tied to DexCom, Inc. The offering totals $495,000 aggregate principal at an issue price of $1,000 per security with an estimated value on the pricing date of $967.80 per security. The securities pay a contingent coupon of 15.50% per annum on each coupon payment date only if the closing level of DexCom is at or above the coupon barrier ($43.404, 60% of the initial level) on the related observation date. The securities are automatically redeemed early if the closing level on any redemption determination date is at or above the call threshold ($72.34, 100% of the initial level); otherwise at maturity investors receive principal only if the final level is at or above the downside threshold ($43.404). If the final level is below the downside threshold, payment at maturity equals the stated principal multiplied by the performance factor (final level / initial level), exposing investors to loss of principal down to zero. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; purchasers bear issuer credit risk and issuance, structuring and hedging costs included in the issue price.
Morgan Stanley Finance LLC priced contingent income auto-callable notes offering securities with a stated principal amount of $1,000 per security that are fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon and are linked to the worst performing of the Dow Jones Industrial, Nasdaq-100® Technology Sector and the Russell 2000®.
The notes can be automatically redeemed on specified redemption dates if each underlier is at or above its call threshold; otherwise they continue to maturity on July 6, 2028. If not auto-redeemed, maturity payoff returns principal only if each final level is at or above its downside threshold; if the worst performing underlier is below that threshold, investors suffer proportional principal loss equal to the worst underlier's decline. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering market-linked notes due June 28, 2029, fully and unconditionally guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per note, pay no interest and return principal at maturity subject to the issuers credit risk.
If the Morgan Stanley Amplitude final level on the observation date exceeds the initial level, investors receive the stated principal plus an upside payment equal to the stated principal times a participation rate (to be set on the pricing date, indicated at 450% to 460%) multiplied by the index percent change. If the final level is equal to or less than the initial level, the holder receives only the stated principal.
Morgan Stanley Finance LLC is offering market-linked notes due July 3, 2031, fully guaranteed by Morgan Stanley. Each note has a stated principal amount of $1,000, pays no interest and at maturity will return principal plus an upside payment only if the underlying S&P 500® Futures Excess Return Index closes above the initial level.
The upside payment equals the stated principal amount × participation rate × underlier percent change; the participation rate will be set on the pricing date in the range 141.50% to 146.50%. Strike/pricing date is June 30, 2026, observation date is June 30, 2031 (subject to postponement), and the estimated value on the pricing date is approximately $962.90 per note. The notes are unsecured, not listed, carry issuer credit risk, and include fees and structuring costs reflected in the $1,000 issue price.
Morgan Stanley Finance LLC priced auto-callable Principal at Risk notes due June 2, 2031 linked to the S&P 500® Futures Excess Return Index. The notes issue at $1,000 per security with an aggregate principal of $1,723,000 and an estimated value on the pricing date of $980.90.
The notes pay no interest and carry a 265% participation rate in upside at maturity if the final level exceeds the initial level (initial level 608.49). An automatic early redemption is triggered on the first determination date (June 4, 2027) if the underlier is >= the call threshold (651.084), producing an early redemption payment of $1,217.50 per security. If the final level is below the downside threshold (456.368, ~75% of initial), investors suffer proportional principal loss and could lose their entire investment. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Dual Directional Trigger PLUS principal-at-risk securities linked to the worst performing of the Dow Jones Industrial, Russell 2000 and S&P 500. Each security has a stated principal amount of $1,000 and matures on June 30, 2031.
At maturity, payoffs depend solely on the worst performing underlier: (1) if every underlier finishes above its initial level, holders receive principal plus a leveraged upside; (2) if the worst underlier finishes below initial level but at or above a 60% downside threshold, holders receive principal plus a capped positive return based on a 50% absolute return participation rate; (3) if the worst underlier finishes below its 60% threshold, holders lose 1% of principal for each 1% decline in that underlier. The securities pay no interest, are unsecured obligations of MSFL, are fully guaranteed by Morgan Stanley, and are subject to credit risk, issuance costs (estimated value approximately $934.20 on pricing date) and limited secondary-market liquidity.
Morgan Stanley Finance LLC is offering market-linked notes due July 5, 2030, fully guaranteed by Morgan Stanley, linked to the worst performing of the Dow Jones Industrial Average and the S&P 500® Index. The stated principal amount is $1,000 per note. Payment at maturity depends solely on the worst performing underlier on the observation date: if that underlier’s final level exceeds its initial level, investors receive the stated principal plus an upside payment equal to the participation rate times the underlier percent change, subject to a maximum payment at maturity; if the final level of either underlier is equal to or below its initial level, investors receive only the stated principal amount. The participation rate is 100% and the maximum payment at maturity will be set on the pricing date (illustrative range: $1,458.50 to $1,508.50 per note). The notes pay no interest, are unsecured, not listed, and are subject to issuer credit risk, potential limited secondary-market liquidity, model-based estimated value (approximately $968.30 on the pricing date), and U.S. federal tax treatment as contingent payment debt instruments.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering Trigger PLUS notes due July 5, 2029 that provide 150.55% leveraged upside to a five‑index international equity basket and have a trigger at 80% of the initial basket value.
Each Trigger PLUS has a $1,000 stated principal amount, pays no interest, and may return the principal, an amplified gain, or a loss tied to the basket value on the valuation date of June 29, 2029. If the final basket value is below the trigger level, investors lose principal proportionately (1% loss per 1% basket decline); there is no minimum payment and the securities are unsecured obligations subject to issuer credit risk. Proceeds are for general corporate purposes.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering Trigger PLUS notes linked to the EURO STOXX 50® Index maturing on July 6, 2032. Each Trigger PLUS has a $1,000 stated principal, an issue price of $1,000, and an estimated value on the pricing date of $943.20. The notes provide leveraged upside equal to a 195.29% leverage factor on any index appreciation but expose holders to principal loss if the final index value is below a trigger level set at 75% of the initial index value. If the final index value is below the trigger level, holders incur a proportional loss (1% loss of principal per 1% index decline), potentially losing the entire investment. Payments are unsecured obligations of MSFL and are subject to Morgan Stanley's credit risk; the securities will not be listed and secondary market liquidity may be limited.