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 Dual Directional Buffered Participation Securities due November 16, 2027, linked to the worst performer of the Dow Jones Industrial Average and the S&P 500 Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and pays no interest. The estimated value on the pricing date is approximately $984.80 per security, reflecting issuance, selling, structuring and hedging costs borne by investors.
At maturity, if both indices finish above their initial levels, investors receive principal plus 100% of the worst performer’s gain, capped at a maximum payment of $1,128.50 per security (112.85%). If the worst performer is below its initial level but at or above its 81% buffer level, investors earn a positive return equal to its percentage decline in absolute value, up to about 19%. If the worst performer closes below its buffer, principal is reduced 1% for each 1% decline beyond the 19% buffer, subject to a minimum payment of 19% of principal. All payments depend on Morgan Stanley’s credit, and secondary market liquidity and U.S. tax treatment of the securities are both described as uncertain.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes linked to the S&P 500® Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount, pays no interest, and matures on July 29, 2031.
At maturity, investors receive an adjusted target payout determined by annual observation periods. Each year’s performance-based payout adjustment depends on index return, a 115% participation rate, a capped maximum annual return, and a downside buffer amount. For the first annual period, the maximum annual return amount is $230 per security and the buffer amount is $150 per security; thereafter each is reset as a percentage of the prior adjusted target payout. If the index falls more than 15% in an annual period, the adjustment is negative and the adjusted target payout declines, so investors can lose some or all of principal. The estimated value on the pricing date is approximately $958.60 per $1,000 security, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is issuing Enhanced Buffered Jump Securities, Series A medium-term notes linked to the common stock of Constellation Energy Corporation. Each security has a $1,000 stated principal amount, issue price $1,000, and aggregate principal of $2,021,000, and is fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and have principal at risk, maturing on August 4, 2027 with an observation date of July 30, 2027.
The initial underlier level is $252.39, with a buffer level of $164.053 (65% of the initial level) and a buffer amount of 35%. If the final level on the observation date is at or above the buffer level, investors receive $1,000 plus a fixed upside payment of $133.50 (13.35%), regardless of how much the stock has risen. If the final level is below the buffer level, investors lose 1.5385% of principal for every 1% decline beyond the buffer, with no minimum repayment; an 85% decline would return only $230.75 per security. The estimated value on the pricing date is $987.50 per security, reflecting issuance, selling, structuring and hedging costs, and all payments are subject to Morgan Stanley’s and MSFL’s credit risk.
Morgan Stanley Finance LLC is offering Jump Securities with an auto-callable feature due July 25, 2028, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and issue price, with an estimated value on the pricing date of about $977.80 per security. The notes pay no interest and do not guarantee return of principal; all payments are subject to Morgan Stanley’s credit risk.
The notes are linked to the worst performing of Broadcom Inc. and NVIDIA Corporation common stock. On August 2, 2027, if each stock’s closing level is at or above its call threshold (Broadcom $378.16, NVIDIA $203.28), the notes auto-redeem for an early payment of $1,521.50 per security and then terminate. If not called, at maturity investors receive: principal plus a 300% participation in the gain of the worst performer if both stocks finish above their initial levels; only principal if both stay at or above their downside thresholds (Broadcom $226.896, NVIDIA $121.968); or a loss matching the full percentage decline of the worst performer if either falls below its downside threshold, potentially reducing the payment to zero.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Callable Contingent Income Securities due July 20, 2028 linked to the capital stock of International Business Machines Corporation. Each security has a $1,000 stated principal amount and total aggregate principal of $2,690,000, issued at par.
Investors may receive a contingent coupon at a 15.00% annual rate, paid only if IBM’s closing level on an observation date is at or above the coupon barrier level of $106.335, which equals 50% of the $212.67 initial level set on July 17, 2026. The downside threshold level is also $106.335.
Beginning January 22, 2027, the notes are callable in whole on specified redemption dates if a risk neutral valuation model indicates it is economically rational for the issuer to redeem. If not redeemed and the final level is at or above the downside threshold, investors receive principal plus any final coupon; if below, the maturity payment equals principal multiplied by the performance factor, producing a 1% loss of principal for every 1% decline in IBM, potentially to zero.
The estimated value on the pricing date is $972.40 per security, below the issue price, reflecting issuing, selling, structuring and hedging costs. All payments are subject to the credit risk of MSFL and Morgan Stanley, and the securities are not bank deposits or FDIC insured. The U.S. federal income tax treatment is uncertain; coupons to non-U.S. investors may be subject to 30% withholding in many cases.
Morgan Stanley Finance LLC is issuing Contingent Income Auto-Callable Securities due July 20, 2029, linked to the ordinary shares of Seagate Technology Public Limited Company, in $1,000 denominations and an aggregate principal amount of $285,000. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, with principal at risk.
Investors receive a contingent coupon at 52.00% per annum only if, on each observation date, Seagate’s share price is at or above the coupon barrier level of $472.596 (60% of the initial level of $787.66). The notes are automatically redeemed at par plus the applicable coupon if, on any redemption determination date from October 19, 2026 onward, the share price is at or above the call threshold level of $787.66.
If the notes are not called and the final level is at or above the downside threshold level of $472.596, investors receive par plus any final coupon; if it is below that level, the maturity payment is stated principal × (final level / initial level), exposing holders to up to a 100% loss of principal. The original issue price is $1,000 per security versus an estimated value of $954.50, reflecting issuance, selling, structuring and hedging costs, and secondary market liquidity may be limited. All payments depend on Morgan Stanley’s credit, and the U.S. tax treatment is described as uncertain, with possible 30% withholding on coupons for certain non-U.S. investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Trigger Jump Securities maturing on July 22, 2031, with a $1,000 stated principal per security and an aggregate principal amount of $511,000. These unsecured notes pay no interest and do not guarantee any return of principal.
The payout is based on the worst performing of the Russell 2000 Index and the S&P 500 Futures Excess Return Index. If both final levels are at or above their initial levels, investors receive principal plus the greater of the index gain on the worst performer or a fixed upside payment of $692 per security, equal to 69.20% of principal. If the worst performer is down but not below its downside threshold (70% of its initial level), investors receive principal plus a positive return matching the absolute decline, effectively capped at a 30% gain.
If either underlier finishes below its downside threshold, repayment is reduced 1% for every 1% decline in the worst performer, with no minimum; the payment can be zero. Initial levels are 2,962.217 for the Russell 2000 and 596.71 for the S&P 500 Futures Excess Return Index, with downside thresholds at 70% of these levels. The securities are offered at $1,000 each, while their estimated value on the pricing date is $971.00, reflecting structuring and hedging costs and issuer credit spreads.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Buffered Jump Securities with Auto-Callable Feature maturing July 20, 2029, linked to a basket of the MSCI Emerging Markets Index (20%) and the EURO STOXX 50 Index (80%). The notes have a stated principal of $1,000 per security, total offering size of $3.2 million, and an issue price of $1,000, with an estimated value on the pricing date of $968.80.
The notes pay no interest and may be automatically redeemed on determination dates in 2027 and 2028 if the basket level is at or above the call threshold of 100% of the initial level, for early redemption payments of $1,120 and $1,240 per security, respectively (about 12% per annum). If held to maturity and not called, investors receive: (i) if the final level is at or above the initial level, $1,000 plus the greater of a $150 upside payment or 100% of the basket’s positive return; (ii) if the final level is below the initial level but at or above the 90% buffer level, only the $1,000 principal; (iii) if below the buffer, a loss of 1% of principal for each 1% decline beyond the 10% buffer, subject to a minimum payment of 10% of principal.
All payments are subject to the credit risk of MSFL and Morgan Stanley, the notes are unsecured and not FDIC insured, secondary market liquidity may be limited, and U.S. tax treatment is uncertain, with the issuer’s counsel viewing them as prepaid financial contracts treated as open transactions.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk Jump Securities with an auto-callable feature linked to the EURO STOXX 50® Index. Each security has a stated principal amount and issue price of $1,000, for an aggregate principal amount of $250,000, and an estimated value on the pricing date of $974.90 per security.
The notes may be automatically redeemed on July 23, 2027 for an early redemption payment of $1,161 per security if the index closes at or above the call threshold level of 6,230.87. If held to July 20, 2029 and not called, investors receive principal plus a 150% participation in index gains if the final level exceeds the initial level, only principal if the final level is between the initial level and the downside threshold level of 4,984.696, and a loss of 1% of principal for each 1% index decline below that level, down to zero. All payments are unsecured and subject to the credit risk of MSFL and Morgan Stanley, and the securities do not pay periodic interest or guarantee any return of principal.
Morgan Stanley Finance LLC is offering $4,500,000 of Dual Directional Trigger Jump Securities, linked to the S&P 500® Index, due July 22, 2031. The notes are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and pay no interest.
Each security has a $1,000 stated principal amount and issue price. At maturity, investors receive: the principal plus a fixed $475 upside payment if the index is at or above the initial level of 7,457.69; a positive return equal to the index’s absolute decline (up to 25%) if the final level is below the initial but at or above the downside threshold of 5,593.268; or a 1% loss of principal for each 1% index decline if the final level is below the threshold, with no minimum payment.
The estimated value on the pricing date is $960.90 per security, below the $1,000 issue price, reflecting issuing, selling, structuring and hedging costs and the issuer’s funding rate. Agent commissions are $33.50 per security (none in fee‑based accounts, where the price is $966.50). All payments depend on Morgan Stanley’s and MSFL’s credit, and there may be limited or no secondary market liquidity.