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 securities tied to the S&P 500® Index with a $1,000 stated principal amount per security and a maturity of December 30, 2027, fully and unconditionally guaranteed by Morgan Stanley.
The notes feature a 15% buffer (buffer level = 85% of initial level), 100% upside and absolute return participation rates, a capped maximum upside payment of $1,151.50 per security (115.15% of principal), an estimated value on the pricing date of approximately $982.90 per security, and a minimum payment at maturity of 15% of the stated principal amount. Payments are based on the closing level of the underlier on the observation date and are subject to issuer credit risk and the other conditions described herein.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes due June 10, 2031, fully guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an issue price of $1,000 per security. The securities are linked to the worst performing of the Dow Jones Industrial Average, the Russell 2000 and the S&P 500. The securities can be automatically redeemed on specified determination dates for fixed early redemption payments (ranging from $1,090.00 to $1,427.50 per security). At maturity investors may receive $1,450.00 if all underliers meet call thresholds, the stated principal if underliers remain above their downside thresholds, or a reduced payment tied to the worst performing underlier (potentially zero) if downside thresholds are breached.
Investors bear full principal risk, credit risk of MSFL/Morgan Stanley, and will not participate in upside beyond the fixed payoffs.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) priced contingent income, memory auto-callable notes due June 8, 2029 linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500. Each security has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $984.10.
The notes pay a contingent coupon at an annual rate of 9.20% on scheduled coupon dates only if each underlier meets its coupon barrier (80% of initial level) on the observation date, and may be automatically redeemed on specified determination dates if all underliers meet their 100% call thresholds. At maturity, if any underlier is below its downside threshold (60% of initial level), the payment equals the stated principal multiplied by the performance factor of the worst performing underlier, exposing investors to potential loss of principal.
Morgan Stanley Finance LLC priced contingent-income, auto-callable principal-at-risk securities due June 26, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000, a contingent coupon at an annual rate of 13.00%, an estimated value on the pricing date of approximately $929.70, and observation/final observation mechanics tied to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Coupons are paid only if the underlier meets a 60% coupon barrier on observation dates; automatic early redemption occurs if the underlier is at or above a 100% call threshold on redemption determination dates. If not auto-redeemed, maturity payoff returns principal only if the final level is at or above a 60% downside threshold; otherwise investors bear losses proportional to the underlier’s decline. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk structured notes due June 10, 2031 linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal amount and pays a contingent coupon at 13.15% per annum on specified observation dates if the underlier meets the coupon barrier. The notes are automatically redeemable on specified redemption dates if the underlier is at or above the call threshold and expose holders to full downside below a 60% downside threshold, with principal losses pro rata to the underlier’s decline. All payments are subject to issuer and guarantor credit risk; estimated value on the pricing date was approximately $957.00.
Morgan Stanley Finance LLC is offering Dual Directional Trigger PLUS notes due June 15, 2029, fully and unconditionally guaranteed by Morgan Stanley, linked to the worst performing of the Dow Jones Industrial Average and the S&P 500. Each security has a stated principal amount of $1,000 and an illustrative leverage factor of 114%. At maturity the payout is determined solely by the worst performing underlier on the observation date: (1) if both underliers finish above their initial levels, investors receive principal plus 114% of the appreciation of the worst performing underlier; (2) if the worst performing underlier finishes below its initial level but at or above 71% of its initial level, investors receive principal plus a positive return calculated using a 100% absolute return participation rate (effectively capped at 29% in that scenario); (3) if the worst performing underlier finishes below 71% of its initial level, investors suffer principal loss of 1% for every 1% decline in that underlier, with no minimum payment and possible total loss. The estimated value on the pricing date is approximately $980.20 per security. All payments are subject to issuer credit risk and the securities do not pay interest.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes due March 1, 2028 with a contingent coupon and full guarantee by Morgan Stanley. Each security has a $1,000 original issue price and an estimated value on the pricing date of approximately $929.60.
The notes pay a contingent coupon at an annual rate of 21.30% on scheduled coupon dates only if the basket closing level meets or exceeds the coupon barrier of 70% on the related observation date. Automatic early redemption can occur on specified dates if the basket closing level meets or exceeds the call threshold of 90%, paying principal plus the contingent coupon. If the notes are held to maturity, a final payment equals principal if the final level is at least the downside threshold of 60%; below that, investors suffer losses proportional to the basket decline and could lose their entire principal.
Morgan Stanley Finance LLC is offering additional contingent income, memory buffered, auto-callable securities linked to Nextpower Inc. class A common stock, fully guaranteed by Morgan Stanley. The tranche adds $9,000 aggregate principal to an existing issuance to form a single tranche with a combined aggregate principal of $865,000. The securities pay a 37.68% annual contingent coupon on observation dates if the underlier meets the coupon barrier and may auto-redeem early if the underlier equals or exceeds the $130.50 call threshold. At maturity investors receive principal if the final level is at or above the buffer level of $91.35 (70% of the initial level); if below, losses equal 1.4286% of principal for each 1% decline beyond the 30% buffer, potentially wiping out principal. All payments remain subject to issuer credit risk.
Morgan Stanley Finance LLC is offering market-linked notes due July 5, 2030 tied to the EURO STOXX 50® Index with a $1,000 stated principal amount per note. The notes pay no interest and return the stated principal at maturity if the index is flat or down; if the final level is higher, holders receive the stated principal plus an upside payment equal to the participation rate (108%) times the underlier percent change. Payments depend on the closing index level on the observation date (July 1, 2030), are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley, and are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced callable Contingent Income Securities due June 8, 2028 linked to the worst performing of the Dow Jones Industrial Average, the Nasdaq-100® Technology Sector Index and the Russell 2000® Index. Each security has a stated principal amount of $1,000 and a contingent coupon at an annual rate of 10.75% payable only when the closing level of each underlier meets or exceeds its coupon barrier on scheduled observation dates. The securities are principal-at-risk: if the final level of any underlier is below its downside threshold (60% of initial level), the payment at maturity equals the stated principal multiplied by the performance factor of the worst performing underlier and could be significantly less than principal or zero. Beginning September 11, 2026 MSFL may redeem early in whole if a risk neutral valuation model determines redemption is economically rational; no redemption can occur before that date. All payments are subject to Morgan Stanley's credit risk.