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 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.
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.