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 (symbol: MS) is the issuer of record for a Form 424B2 filing submitted to the SEC.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering market linked, principal-at-risk securities linked to the Russell 2000® Index, maturing on September 6, 2029 and fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 face amount, with an estimated value on the pricing date of approximately $962.90 per security.
The notes are auto-callable on September 3, 2027 if the index closes at or above the starting level, in which case investors receive a fixed call payment of at least $1,101 per $1,000 (at least a 10.10% return) and no further payments. If not called, at maturity investors receive: leveraged upside of 125% of any positive index return; full principal if the index decline is within a 10% buffer; or a loss of principal if the index falls more than 10%, with losses up to 90% of face amount.
The securities pay no interest, do not provide dividends on the index components, and all payments are subject to Morgan Stanley’s credit risk. The price to the public is $1,000 per security, including up to $25.75 in selling commissions, and they may have limited or no secondary market liquidity.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering unsecured, auto-callable Jump Notes due September 20, 2033 linked to the Morgan Stanley Amplitude Index. Each note has a $1,000 stated principal amount, pays no interest, and is fully and unconditionally guaranteed by Morgan Stanley.
The notes may be automatically redeemed on annual determination dates starting September 15, 2027 if the index is at or above 101% of the initial level, for step-up payments of at least $1,110 to $1,660 per note. If not called and the final index level is above the initial level, investors receive $1,000 plus a 100% participation in index appreciation; otherwise they receive only $1,000 at maturity.
The notes are principal-at-maturity products only to the extent Morgan Stanley and MSFL meet their obligations; all payments are subject to their credit risk. The estimated value on the pricing date is about $890.30 per note, below the $1,000 issue price, reflecting issuance, structuring and hedging costs. The notes will not be listed, secondary liquidity may be limited, and for U.S. tax purposes they are expected to be treated as contingent payment debt instruments, requiring annual accrual of taxable interest.
MORGAN STANLEY (MS), via Morgan Stanley Finance LLC, is offering principal-at-risk Callable Contingent Income Securities due September 6, 2028, linked to the worst performer of the Nasdaq-100® Technology Sector, Russell 2000® Index and S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley.
The notes have a $1,000 stated principal amount and pay a 9.00% per annum contingent coupon only if on each observation date all three indices close at or above their coupon barrier levels, set at 70% of initial levels. If not, that period’s coupon is skipped, potentially for the entire term. Beginning March 3, 2027, early redemption can occur on scheduled dates only if a risk neutral valuation model indicates it is economically rational for Morgan Stanley, in which case holders receive principal plus any due coupon. If held to maturity and all final index levels are at or above their 65% downside thresholds, investors receive principal (plus any final coupon); otherwise, repayment is reduced 1% for every 1% decline in the worst-performing index, down to zero. The estimated value on the pricing date is approximately $960 per $1,000 note, reflecting embedded costs and issuer economics, and all payments are subject to Morgan Stanley’s credit risk.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering market-linked principal-at-risk securities tied to the State Street Energy Select Sector SPDR ETF, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 face amount and matures on November 5, 2027.
The notes provide 300% leveraged upside participation in the ETF’s price gains, capped by a maximum return of at least 27.30% (at least $273 per $1,000). Principal is protected only down to a 95% threshold; below that level, losses are 1‑for‑1 with the ETF, up to a total loss. The estimated value on the pricing date is about $966.10 per $1,000, reflecting embedded fees and hedging costs, and the securities pay no interest and may have limited liquidity.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering unsecured market-linked notes due September 5, 2031, linked to the Dow Jones Industrial Average℠ and fully and unconditionally guaranteed by Morgan Stanley. Each note has a stated principal amount and issue price of $1,000 and pays no periodic interest.
At maturity, if the index’s final level on the September 2, 2031 observation date exceeds its initial level, holders receive $1,000 plus 100% of the index’s percentage gain, capped at a maximum payment of $1,561.50 per note (156.15% of principal). If the final level is equal to or below the initial level, investors receive only the $1,000 principal. The estimated value on the pricing date is approximately $968.70 per note, reflecting issuance, structuring and hedging costs.
The notes are subject to Morgan Stanley’s credit risk, will not be listed on any exchange, and may have limited or no secondary liquidity. The Dow Jones Industrial Average closing level on August 26, 2026 was 53,463.88. For U.S. tax purposes the securities are expected to be treated as contingent payment debt instruments, requiring accrual of interest income over their term.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering structured market-linked securities with a face amount of $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley and linked to an equally weighted basket of two ETFs (XOP and XLK) maturing on December 6, 2027.
The notes provide 100% upside participation in the basket’s gain up to a maximum return of at least 14.15% (at least $141.50), and a 15% downside buffer so principal is fully protected only if the basket decline does not exceed 15%. Below an 85% threshold, losses match further basket declines, up to an 85% loss of principal.
The public offering price is $1,000 with selling agents receiving up to $23.25 per security and Morgan Stanley Finance LLC receiving proceeds of $976.75 per security. The issuer estimates the value on the pricing date at about $954.20 per security, reflecting embedded issuance, structuring and hedging costs. The securities pay no interest, have limited liquidity, and all payments depend on Morgan Stanley’s credit.
MORGAN STANLEY (MS), via Morgan Stanley Finance LLC, is offering principal-at-risk Callable Contingent Income Securities due March 6, 2028 linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500 indices. Each security has a stated principal amount and issue price of $1,000, with an estimated value on the pricing date of about $971 per security.
The notes pay a 9.00% per annum contingent coupon only if on each observation date all three indices are at or above their coupon barrier levels, set at 70% of their initial levels. Principal repayment at maturity also requires all final index levels to be at or above the same 70% downside thresholds; otherwise, investors lose 1% of principal for every 1% decline in the worst-performing index, potentially down to zero.
The securities are callable in whole, but not in part, on specified redemption dates starting December 4, 2026, if a risk neutral valuation model indicates early redemption is economically rational for the issuer. All payments are subject to Morgan Stanley’s credit risk, secondary market liquidity may be limited, and the U.S. federal income tax treatment is described as uncertain.
MORGAN STANLEY (MS), through Morgan Stanley Finance LLC, is offering Contingent Income Memory Buffered Auto-Callable Securities due October 2, 2031, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a $1,000 stated principal amount and issue price.
The notes pay a contingent coupon at 12.00% per annum, but only when the index on an observation date is at or above the coupon barrier, set at 75% of the initial level; missed coupons can be paid later if the barrier is subsequently met. The notes are automatically redeemed at par plus applicable coupons if the index on a redemption determination date is at or above the call threshold, set at 100% of the initial level, starting September 28, 2027.
If the notes are not called and the final index level is at or above the buffer level of 85% of the initial level, investors receive full principal plus any due coupons. If the final level is below the buffer, repayment is reduced 1% for every 1% decline beyond the 15% buffer, subject to a minimum maturity payment of 15% of principal. The estimated value on the pricing date is approximately $902.60 per security, and all payments are subject to the credit risk of Morgan Stanley Finance LLC and the Morgan Stanley guarantee.
Morgan Stanley (MS), through Morgan Stanley Finance LLC, is offering principal-at-risk “Jump Securities with Auto-Callable Feature” maturing on August 28, 2031, linked to the worst performing of the SPDR® S&P MidCap 400® ETF (MDY) and the State Street® SPDR® S&P® Regional Banking ETF (KRE). Each security has a stated principal amount and issue price of $1,000, with an aggregate principal amount of $650,000, and is fully and unconditionally guaranteed by Morgan Stanley.
The notes may be automatically redeemed on any of 16 scheduled determination dates starting August 30, 2027 if the closing level of each ETF is at or above its call threshold (100% of its initial level: $694.00 for MDY; $74.33 for KRE). Early redemption pays a fixed cash amount per $1,000 security corresponding to about 10.40% per annum (from $1,104 on the first call date up to $1,494 on the last), after which no further payments are made.
If not called, maturity payoff depends on the final level of each ETF. If both are at or above their call thresholds, investors receive $1,520 per security. If at least one is below its call threshold but both are at or above a downside threshold of 70% of initial (MDY: $485.80; KRE: $52.031), investors receive only the $1,000 principal. If either ETF finishes below its downside threshold, the payout is $1,000 multiplied by the performance factor of the worst performing ETF, producing a 1-for-1 loss and potentially zero principal. The estimated value on the pricing date is $939.60 per security, reflecting issuance, selling, structuring and hedging costs. All payments are subject to Morgan Stanley’s credit risk, the securities pay no interest, and the tax treatment is described as uncertain, with potential application of the “constructive ownership” and Section 871(m) regimes.