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 $65,795,000 of Leveraged Buffered S&P 500 Index‑Linked Notes due August 11, 2027, fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and the principal is at risk, with returns linked to the S&P 500 Index.
At maturity, investors receive 150% of any positive index return, capped at a Maximum Settlement Amount of $1,151.50 per $1,000 Face Amount. If the index is down, losses are 1% for each 1% decline up to a 10% loss, and beyond a 20% decline losses increase at 112.5% of further downside, exposing investors to a possible total loss. The Initial Underlier Level is 7,482.71. The estimated value on the trade date is $988.70 per note, below the $1,000 Original Issue Price due to issuance, structuring and hedging costs and Morgan Stanley’s internal funding rate. The notes are unsecured, not listed, and subject to the credit risk of MSFL and Morgan Stanley, with limited and discretionary secondary market making by Morgan Stanley & Co.
Morgan Stanley Finance LLC is offering $2,130,000 of Buffered Jump Securities with Auto-Callable Feature and Downside Factor due July 13, 2028, linked to the Global X Defense Tech ETF and fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and issue price, with an estimated value on the pricing date of $983.60.
The notes pay no interest. They auto-call on July 23, 2027 if the ETF closes at or above the $61.19 call threshold, returning $1,149.50 per $1,000 note. If held to maturity and not called, holders receive 125% participation in upside when the final level exceeds the $61.19 initial level, return of principal if it stays at or above the $52.012 buffer level, and leveraged losses of 1.1765% for each 1% decline beyond the 15% buffer, with no minimum repayment. All payments depend on Morgan Stanley’s credit, and secondary-market liquidity and tax treatment are uncertain.
Morgan Stanley Finance LLC is offering U.S. dollar-denominated digital equity‑linked notes tied to TPG Inc. Class A common stock, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 face amount, pays no interest, and is expected to mature roughly 13–15 months after pricing.
At maturity, if TPG’s final share price is at least 80% of the initial level, investors receive a fixed cash payment equal to the Maximum Settlement Amount, expected between $1,210.80 and $1,248.00 per note (121.08%–124.80% of face). If TPG declines by more than 20%, the payoff falls according to a formula using a 125% buffer rate and can drop to zero, so principal is fully at risk.
The public offering price is $1,000 per note, including a 1.08% sales commission, with $989.20 per note to the issuer. Morgan Stanley estimates the initial economic value at about $972.70 per note, reflecting structuring and hedging costs and an internal funding rate. The notes are unsecured, unlisted, have no early redemption, and depend on Morgan Stanley’s credit and any secondary market making.
Morgan Stanley Finance LLC is issuing Fixed Income Auto-Callable Securities due August 13, 2027, linked to the common stock of NVIDIA Corporation and fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays a fixed coupon at 12.75% per annum, with monthly payments.
The notes may be automatically redeemed starting January 8, 2027 if NVIDIA’s closing level is at or above the $210.96 call threshold (100% of the initial level), returning principal plus the coupon for that period. If not called, and on the August 10, 2027 observation date the final level is at or above the $126.576 downside threshold (60% of the initial level), investors receive full principal plus the final coupon. If the final level is below the downside threshold, principal is reduced 1% for each 1% decline in the underlier, potentially to zero, though the final coupon is still paid.
The securities are principal at risk, unsecured obligations of MSFL, subject to Morgan Stanley’s credit, and are not FDIC insured. The aggregate principal amount is $1,776,000, offered at $1,000 per security, with an estimated value on the pricing date of $990.80 per security.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing market-linked notes due January 13, 2028 based on the worst performing of the Nasdaq-100 Index and the S&P 500 Index. Each note has a $1,000 principal amount, with $250,000 aggregate principal offered.
The notes pay no interest. At maturity, if both indices finish above their initial levels (29,825.11 for NDX and 7,575.39 for SPX), holders receive principal plus 100% of the worst index’s gain, capped at a maximum $1,114.50 per note. If either index is at or below its initial level, holders receive only the $1,000 principal, so upside is limited while principal is returned only at maturity.
The notes are unsecured obligations subject to Morgan Stanley’s credit risk, are not listed on any exchange, and may trade at a discount; the initial estimated value is $985.40 per $1,000 note. They are expected to be treated as contingent payment debt instruments for U.S. tax purposes, requiring accrual of taxable interest income over the term.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $1,260,000 of Callable Contingent Income Securities due July 15, 2031, linked to the worst performing of the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the VanEck Semiconductor ETF. Each note has a $1,000 stated principal amount and issue price.
The notes pay a 26.00% per annum contingent coupon on scheduled payment dates only when all three underliers close at or above their coupon barrier levels, set at 75% of initial levels. Principal repayment is not guaranteed: if, at maturity, any underlier is below its downside threshold level, set at 60% of its initial level, and the notes have not been called, repayment is reduced in proportion to the worst underlier’s decline, potentially to zero.
Beginning January 14, 2027, the issuer may redeem the notes in whole on specified redemption dates at par plus any due coupon, but only if a risk neutral valuation model indicates redemption is economically rational for the issuer. The estimated value on the pricing date is $976.60 per security, below the $1,000 issue price, and all payments are subject to Morgan Stanley’s credit risk and limited secondary-market liquidity.
Morgan Stanley Finance LLC is offering Variable Income Auto-Callable Notes due July 15, 2031, fully and unconditionally guaranteed by Morgan Stanley. The notes are issued at $1,000 per note, with an aggregate principal amount of $703,000, and reference the worst-performing of Palantir (PLTR), Micron (MU) and Oracle (ORCL) common stocks.
Monthly coupons vary between 0.25% and 12.50% per annum$1,000 principal at maturity plus the applicable final coupon, all subject to the credit risk of MSFL and Morgan Stanley. The notes are not listed, have an estimated value of $924.10 per note, and include a $47.50 sales commission per $1,000 note, so secondary prices may be below issue price.
Morgan Stanley Finance LLC is offering $588,000 of Callable Contingent Income Securities due July 13, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each unsecured note has a $1,000 stated principal amount and is linked to the worst performer of the S&P 500® Index, the State Street® Energy Select Sector SPDR® ETF and the State Street® SPDR® S&P® Regional Banking ETF.
Investors may receive a 12.40% per annum contingent coupon, paid only when all three underliers close at or above their coupon barrier levels (70% of initial levels) on the relevant observation date. Principal is at risk: if, at maturity, any underlier finishes below its downside threshold (also 70% of its initial level), the repayment equals $1,000 multiplied by the performance of the worst underlier, potentially resulting in a total loss.
Beginning January 14, 2027, the issuer may redeem the notes on specified dates for principal plus any due coupon, but only if a risk neutral valuation model indicates calling is economically rational for the issuer. The notes are not deposits or FDIC-insured, and all payments depend on Morgan Stanley’s credit. The estimated value on the pricing date is $965.40 per note, below the $1,000 issue price, reflecting structuring and hedging costs and the issuer’s funding rate.
Morgan Stanley Finance LLC is offering $660,000 of Dual Directional Buffered PLUS notes linked to the Nasdaq-100 Index, fully and unconditionally guaranteed by Morgan Stanley. The notes mature on July 15, 2031, pay no interest and are principal-at-risk unsecured obligations.
If the index finishes above its initial level of 29,825.11, holders receive $1,000 plus 110% of the index gain, capped at $1,850 per note. If the index is flat or down by up to 20%, investors earn a positive absolute return on that move, up to a 20% gain. Below the 80% buffer level of 23,860.088, principal is lost one-for-one beyond the buffer, with a minimum payout of 20% of principal.
The estimated value on the July 10, 2026 pricing date is $976.90 per $1,000 note, reflecting issuing, selling, structuring and hedging costs and Morgan Stanley’s funding advantage. Returns depend on Morgan Stanley’s credit, limited secondary liquidity, index volatility, and complex, uncertain U.S. tax treatment.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Callable Contingent Income Memory Securities due July 13, 2029, at $1,000 per note, for an aggregate principal amount of $872,000. The notes are unsecured and principal at risk, with all payments subject to Morgan Stanley’s credit.
The notes pay a 16.50% per annum contingent coupon, with missed coupons potentially paid later, but only when both the iShares Expanded Tech-Software Sector ETF (IGV) and VanEck Semiconductor ETF (SMH) close on an observation date at or above coupon barriers set at 60% of initial levels ($55.45 for IGV; $366.62 for SMH).
If the notes are not redeemed early and both ETFs finish at or above 60% downside thresholds at maturity, investors receive full principal plus any due coupons; otherwise the payoff scales with the loss of the worst-performing ETF and can be zero. The issuer may call the notes in whole on scheduled redemption dates from July 16, 2027, based on a risk neutral valuation model that favors economically rational redemptions for the issuer. The estimated value is $975.60 per $1,000, reflecting issuing and hedging costs, and the notes may have limited liquidity and uncertain U.S. tax treatment, including potential 30% withholding on coupons for some non-U.S. investors.