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 offers market-linked, principal-at-risk securities due June 16, 2027 linked to the lowest performing of Apple, Dell and Tesla.
Each security has a face amount of $1,000, an estimated value on the pricing date of $960.30 (±$35.00) and a contingent fixed return of at least 25.10% (approximately $251 per face amount). At maturity investors receive the face amount plus the contingent fixed return if the lowest performing underlying stock finishes at or above 70% of its starting price; otherwise repayment is reduced 1-for-1 for losses beyond a 30% buffer, meaning investors may lose up to 70% of face amount.
Morgan Stanley Finance LLC offers Principal at Risk market‑linked securities linked to the common stock of Blackstone Inc., with a face amount of $1,000 per security and a pricing date of June 5, 2026. The securities are auto‑callable after a ~3‑month non‑call period and mature on June 15, 2027, subject to postponement. Investors may receive contingent monthly coupons only if the stock closing price on each monthly calculation day meets or exceeds a coupon threshold equal to 70% of the starting price; the contingent coupon rate will be set on the pricing date and will be at least 16.20% per annum. If not called, principal at maturity equals $1,000 if the ending price is at or above the downside threshold (70% of the starting price); if below, the maturity payment equals $1,000 × (ending price / starting price), exposing investors to more than a 30% loss and possibly total loss. The preliminary estimated value on the pricing date is approximately $964.60 per security, within $35.00 of that estimate. All payments are subject to Morgan Stanley’s credit risk; these securities are not equivalent to owning Blackstone stock, do not pay regular interest, and may have limited secondary market liquidity.
Morgan Stanley Finance LLC is offering Buffered PLUS notes due July 3, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and returns tied to the worst performing of the Russell 2000® and S&P 500® indices.
At maturity investors receive: principal plus a 126% leveraged upside if the worst performing underlier is above its initial level; principal only if the worst underlier is between its initial level and an 80% buffer level; or a loss equal to the full decline beyond the 20% buffer (subject to a 20% minimum payment). All payments are subject to issuer credit risk and the estimated value on pricing date is approximately $961.20 per security.
Morgan Stanley Finance LLC is offering $500,000 aggregate principal of Structured Investments — Enhanced Buffered Jump Securities due August 31, 2027, fully and unconditionally guaranteed by Morgan Stanley. The securities are principal-at-risk notes linked to the State Street® Technology Select Sector SPDR® ETF (XLK).
Each security has a stated principal amount of $1,000, an upside payment of $123 per security (12.30%) if the final level is at or above the buffer, and a buffer equal to 20% of the initial level. If the final level is below the buffer level, investors lose 1% for each 1% decline beyond the buffer, subject to a minimum payment of 20% of principal. The estimated value on the pricing date was $991.00 per security and the issue price is $1,000 per security.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering Principal at Risk Trigger Participation Securities linked to the worst performing of the Nasdaq-100 and S&P 500. Each security has a $1,000 stated principal amount, 100% participation (subject to a $1,490 maximum) and matures on December 9, 2027. If the worst performing underlier is below its 70% downside threshold on the observation date, investors lose principal proportionately (1% loss for each 1% decline). The estimated value on the pricing date was approximately $977.80 per security; the issue price is $1,000. All payments are subject to Morgan Stanley’s credit risk and terms in the accompanying supplements.
Morgan Stanley Finance LLC is offering structured, principal-at-risk Dual Directional Jump Securities tied to the common stock of Micron Technology, Inc. Each security has a $1,000 stated principal amount and is fully and unconditionally guaranteed by Morgan Stanley.
The securities feature automatic early redemption beginning on June 22, 2027 if the underlier's closing level is at or above a call threshold equal to 70% of the initial level. A downside threshold is set at 50% of the initial level; payments at maturity vary by final level, including possible full loss of principal if the final level is below that downside threshold. The securities do not pay interest, do not participate in any upside appreciation of the underlier, and all payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC offers principal-at-risk, contingent income auto-callable securities linked to the common stock of Cleveland-Cliffs Inc. The securities have a $1,000 stated principal per security, pay contingent coupons only if observation-date levels meet a coupon barrier, and can be automatically redeemed early if call thresholds are met.
Coupons are contingent (annual rate set on pricing date, indicated between 22.50% and 23.50% in this supplement), investors bear full downside if the final level is below a 50% downside threshold, and all payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced a preliminary offering of callable, principal-at-risk notes due June 8, 2029 linked to the worst performing of the Dow Jones Industrial Average, the Russell 2000® Index and the State Street® Technology Select Sector SPDR® ETF. The securities pay a contingent coupon of 12.55% per annum on each coupon payment date only if the closing level of each underlier is at or above its coupon barrier (70% of each initial level) on the related observation date. The notes are callable beginning December 10, 2026 if a risk neutral valuation model indicates economic rationality to the issuer; redemptions are in whole only.
If not redeemed, at maturity investors receive the stated principal ($1,000) only if each underlier’s final level is at or above its downside threshold (70% of initial). If any underlier is below that threshold, the maturity payment equals $1,000 multiplied by the performance factor of the worst performing underlier (i.e., full loss proportional to the worst underlier), so principal can be significantly reduced or zero. All payments are unsecured and subject to Morgan Stanley’s credit risk. The pricing-date estimated value was approximately $981.20 per security.
Morgan Stanley Finance LLC is offering structured Principal‑at‑Risk notes due June 16, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 issue price, an estimated value of approximately $955.80 on the pricing date, and an upside payment of $200 per security.
At maturity investors receive either principal plus the greater of the upside payment or a cash amount tied to the S&P 500® percent change (capped at $1,850), provided the final level is at or above a downside threshold equal to 80% of the initial level. If the final level is below that threshold, investors lose 1% of principal for each 1% decline in the index and could lose their entire investment. All payments are subject to Morgan Stanley's credit risk and the securities do not pay interest.
Morgan Stanley Finance LLC is offering $569,000 aggregate principal amount of Principal at Risk structured notes due June 1, 2029, fully and unconditionally guaranteed by Morgan Stanley.
The notes have a stated principal amount of $1,000 per security, an issue price of $1,000 and an estimated value on the pricing date of $975.30. They pay a contingent annual coupon of 12.45% only when, on each observation date, the closing level of each of three underliers (EURO STOXX 50®, iShares Expanded Tech-Software ETF, State Street Energy Select Sector SPDR ETF) is at or above its coupon barrier (65% of initial level). The notes are auto-callable on specified redemption determination dates if each underlier is at or above its call threshold (100% of initial level). If not auto‑redeemed, maturity payout returns the stated principal if every underlier is at or above its downside threshold (65%); otherwise payment equals the stated principal multiplied by the performance factor of the worst performing underlier, which may result in a significant loss of principal, including zero. All payments are subject to Morgan Stanley’s credit risk.