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 Principal at Risk securities due June 30, 2031 linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a $1,000 stated principal, contingent coupons set on the pricing date at an annual rate of 10.50%–11.50%, and a buffer of 15% (buffer level = 85% of initial).
Coupons pay only if the underlier equals or exceeds the coupon barrier (70% of initial) on observation dates. Automatic early redemption may occur on scheduled dates if the underlier reaches the call threshold (100% of initial). Estimated value on the pricing date was approximately $902.60 per security. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a Trigger PLUS structured note due July 3, 2031 linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500 indices. Each security has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $960.30. At maturity, payoffs are determined by the worst performing underlier: investors receive principal plus a 400% leveraged upside subject to a maximum payment of $1,820–$1,870, receive principal if the worst underlier stays at or above 70% of its initial level, or lose principal on a 1% for 1% decline below that threshold, with no minimum payment. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; payment depends on issuer creditworthiness.
Morgan Stanley Finance LLC priced contingent income, principal-at-risk notes linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a $1,000 stated principal amount, a contingent coupon to be set on the pricing date (indicated range 12.00%–13.00% annually) and a maturity date of June 30, 2031. The securities pay contingent coupons only if the index closes at or above an 80% coupon barrier on observation dates and are subject to automatic early redemption if the index closes at or above the call threshold (100% of the initial level) on redemption determination dates beginning June 25, 2027. At maturity, if the final index level is below the 85% buffer level, investors absorb losses 1% for each 1% decline beyond the buffer, subject to a minimum payment of 15% of principal. Estimated value on the pricing date is approximately $901.60 per security. All payments are unsecured obligations of MSFL and are guaranteed by Morgan Stanley; holders are exposed to issuer credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk notes due June 30, 2031 that are fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $898.10 per security.
The notes pay a contingent coupon (annual rate to be set on the pricing date, indicated as 12.50%–13.50% in the preliminary terms) only if the underlier meets the coupon barrier on observation dates. The underlier is the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, which includes a 4.0% per annum daily decrement. If not automatically redeemed early, principal at maturity depends on the final level relative to a downside threshold (set at 60% of the initial level); below that threshold investors lose principal proportionally.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent-income, auto-callable notes due June 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000, a contingent coupon to be set on the pricing date (indicated at 11.00% to 12.00% per annum) and an estimated value on the pricing date of approximately $898.80.
The notes pay contingent coupons only if the underlier, the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, meets the coupon barrier (60% of the initial level) on observation dates. The notes are automatically redeemed early if the underlier meets the call threshold (100% of the initial level) on any redemption determination date. At maturity, if the final level is below the downside threshold (60% of the initial level), principal is reduced pro rata via a performance factor (final level/initial level), potentially resulting in substantial loss of principal.
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 date of June 30, 2031. The securities are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley. Payments at maturity depend on the index level on the observation date: investors receive upside participation (100%) up to a capped $1,606.50–$1,626.50 (160.65%–162.65%), a limited positive return if the final level falls within a 15% buffer, or losses beyond the buffer (1% loss of principal for each 1% decline). The securities do not pay interest, have a minimum payment at maturity of 15% of principal, and are subject to MSFL/Morgan Stanley credit risk. The estimated value on the pricing date is approximately $938.70 per security.
Morgan Stanley Finance LLC is offering market-linked notes due July 5, 2030, fully guaranteed by Morgan Stanley, linked to the S&P 500® Futures Excess Return Index. The stated principal amount is $1,000 per note. At maturity, if the index final level is greater than the initial level, holders receive the stated principal plus an upside payment equal to the stated principal multiplied by a participation rate (determined on the pricing date) multiplied by the index percent change; if the final level is equal to or less than the initial level, holders receive only the stated principal.
The participation rate will be between 118.25% and 128.25%, with an estimated value on the pricing date of approximately $966.20 per note. All payments are subject to issuer credit risk, the notes pay no interest, are unsecured, will not be listed, and may have limited secondary-market liquidity.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable securities linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index with a stated principal amount of $1,000 per security. The notes mature on June 30, 2031 and pay a contingent coupon (annual rate to be set on the pricing date, indicated at 9.50%–10.50% range) only if the underlier meets the coupon barrier on observation dates. The securities are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley, do not guarantee principal, and may be automatically redeemed early if the underlier meets the call threshold on any redemption determination date starting June 25, 2027. At maturity, if the final level is below the downside threshold (50% of the initial level), repayment will be reduced pro rata by the performance factor and could be zero. All payments are subject to Morgan Stanley credit risk.
The pricing supplement describes a $1,000 per security structured note issued by Morgan Stanley Finance LLC and fully guaranteed by Morgan Stanley that pays no interest and exposes investors to full principal risk. The notes reference a two‑stock basket (Cloudflare NET 50% / CACI CACI 50%), mature on December 8, 2027, and pay a fixed $465 upside if the basket's final level is at or above its initial level; if the final level is below the initial level, principal is reduced pro rata (1% loss for each 1% decline) and could be zero.
The original issue price is $1,000 and the issuer estimates the securities' value on the pricing date at approximately $974.70. All payments are subject to Morgan Stanley's credit risk, MS & Co. will act as calculation agent and agent, and selected dealers receive a $15 sales commission plus a $1 structuring fee per security.
Morgan Stanley Finance LLC offers Trigger PLUS principal-at-risk securities due July 6, 2029 linked to the worst performing of the Nasdaq-100® Technology Sector, the Russell 2000® and the S&P 500®. Each security has a $1,000 stated principal amount and an issue price of $1,000.
At maturity the payout is driven solely by the worst performing underlier: investors receive the stated principal plus a leveraged upside if the worst underlier finishes above its initial level; receive only principal if that underlier finishes between its initial level and a 70% downside threshold; or suffer a loss of principal pro rata to the decline of the worst underlier if it finishes below the 70% threshold. The leverage factor will be set on the pricing date between 170% and 175%. All payments are subject to MSFL and Morgan Stanley credit risk; the securities pay no interest and could result in total loss of principal.