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.
The Morgan Stanley (NYSE: MS) SEC filings page on Stock Titan brings together the firm’s regulatory disclosures, including current reports on Form 8‑K and other registered securities information. These filings show how Morgan Stanley communicates material events such as quarterly and annual financial results, capital actions, regulatory capital developments and securities offerings.
Form 8‑K filings frequently cover the release of financial information for specific quarters and for the full year, with press releases and financial data supplements filed as exhibits. Other 8‑K reports describe changes in the firm’s Stress Capital Buffer under the Federal Reserve’s supervisory stress testing framework, providing context on Morgan Stanley’s U.S. Basel III Standardized Approach Common Equity Tier 1 capital requirements.
The filings also list the securities registered under Section 12(b) of the Securities Exchange Act of 1934, including common stock, multiple series of non‑cumulative preferred stock represented by depositary shares, and global medium‑term notes issued by Morgan Stanley or Morgan Stanley Finance LLC, with Morgan Stanley acting as guarantor for certain notes. Additional 8‑K filings describe the approval of forms of master notes for global medium‑term notes and related legal opinions and consents.
On Stock Titan, these SEC documents are updated as they are made available on EDGAR. AI‑powered summaries help explain the key points in lengthy filings, so users can quickly see what each 8‑K, 10‑K or 10‑Q addresses without reading every page. Investors can also use this page to monitor registered securities, preferred stock disclosures and other regulatory information related to Morgan Stanley.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities linked to the common stock of NVIDIA Corporation, fully and unconditionally guaranteed by Morgan Stanley. These are principal-at-risk notes that pay a contingent coupon only when the underlier closes at or above a coupon barrier on each observation date. If triggered, missed coupons may be paid later under the memory feature. The notes may be automatically redeemed if the underlier is at or above a call threshold on specified redemption determination dates, returning the stated principal amount plus the applicable coupon and any previously unpaid coupons.
The securities are scheduled to mature on November 3, 2027 if not called, with observation and potential coupon payment dates monthly. At maturity, if not called and the final level is at or above the downside threshold (65% of the initial level), investors receive the stated principal amount plus any payable coupon; otherwise, repayment is reduced 1% for every 1% decline in the underlier, potentially to zero. The issue price is $1,000 per security, with an estimated value of approximately $955 on the pricing date. The contingent coupon rate will be set in a range of 12.00% to 13.00% per annum. The notes are unsecured obligations subject to Morgan Stanley’s credit risk and will not be listed on any exchange.
Morgan Stanley Finance LLC priced a structured note offering of $136,642,000 in Callable Fixed Income Securities due October 1, 2026, fully and unconditionally guaranteed by Morgan Stanley. The notes are linked to the worst performing of the S&P 500, Nasdaq‑100, and Russell 2000 and are principal at risk.
The securities pay a fixed coupon of 8.66% per annum with monthly payments. Beginning April 1, 2026, the issuer may redeem the notes on specified monthly dates if a risk‑neutral valuation model indicates redemption is economically rational for the issuer. If not called, at maturity investors receive par only if each index is at or above its 70% downside threshold; otherwise, repayment of principal is reduced one‑for‑one with the decline of the worst index, potentially to zero.
The issue price is $1,000 per note; estimated value on the pricing date is $987.80 per note. Agent-related fees total $341,605, with proceeds to the issuer of $136,300,395. The notes will not be listed and are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced Callable Contingent Income Securities fully and unconditionally guaranteed by Morgan Stanley, with an aggregate principal amount of $1,392,000. The notes pay a contingent coupon at 11.00% per annum only if, on each observation date, the S&P 500, Nasdaq-100 Technology Sector Index, and Russell 2000 are all at or above their coupon barrier levels, set at 70% of initial levels.
The notes are callable in whole, beginning January 14, 2026, if a risk‑neutral valuation model indicates redemption is economically rational for the issuer. If not called, they mature on October 14, 2027. At maturity, investors receive principal only if each index is at or above its downside threshold (also 70% of initial); otherwise, repayment is reduced 1% for each 1% decline in the worst-performing index, potentially to zero.
Issue price is $1,000 per security, with an estimated value of $983.90. Proceeds to the issuer are $993 per security (total $1,382,256), reflecting $7 in agent fees. Payments are subject to Morgan Stanley’s credit risk. The securities will not be listed on an exchange and may have limited liquidity.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due September 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. These unsecured, principal-at-risk notes pay a contingent coupon at 10.30% per annum only if, on each observation date, the closing level of all three underliers—the SPDR S&P Regional Banking ETF (KRE), the S&P 500 Index (SPX) and the Nasdaq-100 Technology Sector Index (NDXT)—is at or above its coupon barrier level (70% of its initial level).
The notes are callable in whole (not in part) on scheduled redemption dates starting January 22, 2026, if a risk neutral valuation model indicates calling is economically rational for the issuer; early redemption is not automatic based on underlier performance. If not called, at maturity investors receive the stated principal amount only if each underlier’s final level is at or above its downside threshold (60% of initial). If any underlier is below its threshold, repayment is reduced 1% for each 1% decline of the worst performer, potentially to zero. The issue price is $1,000 per security; the estimated value on the pricing date is approximately $966.10 per security. The notes will not be listed and all payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Contingent Income Auto-Callable Securities due October 20, 2028, linked to The Home Depot, Inc. (HD) common stock and fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk securities pay a contingent quarterly coupon at an annual rate of 10.60% (about $26.50 per $1,000 per quarter) only when the determination closing price is at or above 80% of the initial share price.
The notes are auto-callable on any of the first eleven determination dates if HD’s price is at or above the initial share price, redeeming at $1,000 plus the contingent coupon. If held to maturity and HD is at or above the 80% downside threshold, the payout is $1,000 plus the final coupon; otherwise, investors are exposed 1-to-1 to the decline and could receive significantly less than 80% of principal, down to zero. Investors do not participate in any stock appreciation.
Per-security economics: Issue price $1,000; estimated value approximately $970 (within $30); agent sales commission $17.50; structuring fee $5; and proceeds to the issuer $977.50. The securities are unsecured obligations of MSFL, guaranteed by Morgan Stanley, and will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Jump Securities with an auto-call feature maturing on October 26, 2028, linked to the worst performer of the S&P 500, Nasdaq-100 Technology Sector, and Russell 2000 indices.
Each security is issued at $1,000 and may be automatically redeemed on November 3, 2026 if all underliers close at or above their 100% call thresholds on October 29, 2026, paying an early redemption amount of $1,182.50 per security. If held to maturity and all underliers finish above initial levels, the payoff equals principal plus 175% of the worst underlier’s gain. If any underlier finishes at or below initial but all are at or above the 70% downside thresholds, investors receive only principal. If any underlier finishes below its downside threshold, repayment is reduced one-for-one with the decline of the worst performer, and could be zero.
The securities pay no interest, are unsecured, will not be listed, and are subject to the issuers’ credit risk. The estimated value on the pricing date is approximately $950.10 per security.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Buffered Participation Securities linked to the S&P 500 Index, due April 28, 2027. The notes pay no interest and return depends on the index level on the observation date.
At maturity, investors receive $1,000 plus the index upside at a 100% participation rate, capped at a maximum payment of $1,147.50 per security. If the index is flat to down but not below the 10% buffer, investors earn the absolute decline at 100% participation, effectively up to a +10% positive return. If the index falls beyond the buffer, principal is reduced 1% for each 1% decline beyond 10%, with a minimum payment of 10% of principal.
The issue price is $1,000 per security, including a $15 sales commission (proceeds to issuer $985 per security). The estimated value on the pricing date is approximately $980.10 per security (or within $35 of that estimate). The securities are unsecured obligations subject to the issuer’s and guarantor’s credit risk and will not be listed on any exchange.
Morgan Stanley Finance LLC filed a preliminary pricing supplement for Callable Contingent Income Securities due October 21, 2027, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay a contingent coupon at 16.55% per annum only if, on each observation date, the closing level of the SPDR S&P Regional Banking ETF (KRE), the Energy Select Sector SPDR Fund (XLE) and the Nasdaq-100 Technology Sector Index (NDXT) is at or above each underlier’s coupon barrier (70% of its initial level).
The notes may be redeemed early, in whole, on specified redemption dates beginning January 23, 2026, if and only if a risk neutral valuation model indicates redemption is economically rational for the issuer. If held to maturity and each final underlier level is at or above its downside threshold (70%), investors receive the stated principal amount plus any final coupon; otherwise, repayment is reduced 1% for each 1% decline of the worst performer and could be zero. The issue price is $1,000 per security; the estimated value on the pricing date is approximately $979.70 per security.
The securities will not be listed, all payments are subject to the issuer’s credit risk, and secondary market liquidity may be limited.
Rigel Pharmaceuticals, Inc. received joint Schedule 13G/A filings from Morgan Stanley and Morgan Stanley Capital Services LLC reporting passive ownership in the company's common stock. The combined report shows 116,406 shares beneficially owned by Morgan Stanley with 0.7% of the class and 71,545 shares by Morgan Stanley Capital Services LLC representing 0.4%. Both filers state they have 0 shares of sole voting or dispositive power and report shared voting/dispositive powers for the listed amounts. The filings note that, as of the filing date, each filer has ceased to be the beneficial owner of more than 5% of the class and include standard certifications on ordinary-course holdings.
ESSA Pharma Inc. filing reports that Morgan Stanley and certain MS reporting units hold 1,904,062 common shares, representing 4.0% of the outstanding class as of the event date 09/30/2025. The filing shows shared voting power of 1,876,562 shares and shared dispositive power of 1,904,062, with no sole voting or dispositive power reported. The document states Morgan Stanley has ceased to be a beneficial owner above 5% of the class. Morgan Stanley & Co. LLC separately reports 0 shares and 0.0% ownership. The filing is a routine Schedule 13G amendment disclosing passive ownership and includes exhibits for a joint filing agreement and subsidiary identification.