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 $506,000 of Buffered Participation Securities linked to the S&P 500® Index, fully and unconditionally guaranteed by Morgan Stanley. The notes are issued in $1,000 denominations, pay no interest, and are scheduled to mature on July 15, 2030.
The payoff depends solely on the S&P 500 closing level on July 10, 2030. If the index ends above its initial level of 7,575.39, holders receive principal plus 100% of the gain, capped at a maximum of $1,455 per note. If the index finishes between 70% and 100% of its initial level, principal is returned; below 70%, principal is reduced one-for-one with further declines, but not below 30% of principal.
All payments are subject to Morgan Stanley’s credit risk, and there may be limited or no secondary market. The estimated value on the pricing date is $973.10 per $1,000 note, reflecting issuing, structuring and hedging costs and the issuer’s funding rate. For U.S. tax purposes, counsel considers it reasonable to treat the notes as prepaid financial contracts, though the ultimate tax consequences remain uncertain.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing Contingent Income Auto-Callable Securities due July 13, 2029 linked to Blackstone Inc. common stock. Each note has a stated principal of $1,000 and the aggregate principal amount is $5,936,000.
Investors may receive a 15.50% per annum contingent coupon only when the underlier’s closing level on an observation date is at or above the coupon barrier of $73.854, 60% of the $123.09 initial level. The notes are automatically redeemed at par plus any coupon if the underlier is at or above the call threshold of $123.09 on specified redemption determination dates.
If not called, principal is repaid at maturity only when the final underlier level is at or above the $73.854 downside threshold; otherwise, repayment is reduced in proportion to the underlier’s decline and can be zero. These unsecured, principal-at-risk obligations have an estimated value of $971.20 per $1,000 note, with $20 per note in selling commissions.
Morgan Stanley Finance LLC is offering $301,000 of S&P 500-linked Buffered Jump Securities due October 14, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 principal-at-risk note pays no interest.
At maturity, if the S&P 500 final level is at or above the initial level of 7,575.39, holders receive principal plus a fixed upside payment of $117.50 per security (11.75% of principal). If the final level is below the initial level but at or above the 15% buffer level of 6,439.082, holders receive only principal. Below the buffer, principal is reduced 1% for each 1% index decline beyond 15%, subject to a minimum payment of 15% of principal; for example, a 95% index decline would pay $200 per security.
The estimated value on the pricing date is $990.60 per security, reflecting issuance, structuring and hedging costs borne by investors. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, may have limited or no secondary-market liquidity, and involve complex valuation and U.S. federal tax uncertainties.
Morgan Stanley Finance LLC is offering $1,090,000 of Buffered Participation Securities due July 13, 2029, fully and unconditionally guaranteed by Morgan Stanley. The $1,000-denomination, principal-at-risk notes pay no interest and their return depends on the worst performer among Invesco QQQ, State Street Technology Select Sector SPDR ETF and Vanguard Information Technology ETF.
At maturity, holders receive principal plus 100% of any gain in the worst-performing fund, capped at a maximum payment of $2,000 per security. A 30% buffer protects against moderate losses; below the buffer, principal declines 1% for each additional 1% drop in the worst performer, with a minimum payment of 30% of principal. The notes are unsecured and subject to the credit risk of Morgan Stanley and MSFL, limited liquidity, an estimated value of $988.70 per $1,000 note, concentration in technology and information-technology sectors, and complex, uncertain U.S. tax treatment, including potential “constructive ownership” and Section 871(m) considerations.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $1,256,000 of Buffered Jump Securities with Auto-Callable Feature due July 13, 2029, linked to the worst of the Russell 2000 Index and S&P 500 Index. These unsecured notes pay no interest and expose principal to market and credit risk.
The notes may be automatically redeemed on July 21, 2027 if both indices are at or above their initial levels, paying $1,170.50 per $1,000 and ending the investment. If held to maturity and both final index levels exceed their initials, investors receive principal plus 100% of the gain of the worse-performing index; if either finishes between its initial and 85% buffer level, principal is returned. Below the 15% buffer, the maturity payment falls 1% for each additional 1% decline in the worst index, with a minimum of 15% of principal.
The issue price is $1,000 per security versus an estimated value of $981.80, reflecting issuing, structuring and hedging costs. Liquidity may be limited, valuations rely on Morgan Stanley models, and all payments depend on Morgan Stanley’s and MSFL’s ability to meet their obligations.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due January 13, 2028, linked to the Class A common stock of Palantir Technologies Inc., in an aggregate principal amount of $354,000. Each security has a stated principal amount and issue price of $1,000, with an estimated value on the pricing date of $954.70, reflecting issuance, selling, structuring and hedging costs borne by investors.
The notes pay a 17.80% per annum contingent coupon on scheduled coupon payment dates only if Palantir’s closing stock price on the related observation date is at or above the coupon barrier level of $76.074, equal to 60% of the initial level of $126.79. Beginning on October 16, 2026, the issuer may redeem the notes in whole on specified redemption dates for principal plus any due coupon if a risk neutral valuation model indicates that redemption is economically rational for Morgan Stanley compared to continuing the notes.
If the notes are not redeemed and, on the January 10, 2028 final observation date, Palantir’s stock is at or above the downside threshold of $63.395 (50% of the initial level), investors receive the stated principal amount at maturity plus any final contingent coupon. If the final level is below this threshold, the maturity payment equals principal multiplied by the performance factor (final level divided by initial level), so repayment falls in proportion to the stock’s decline and can be reduced to zero. All payments are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and are subject to the credit risk of both entities.
Morgan Stanley Finance LLC, guaranteed by Morgan Stanley, is offering $853,000 of Buffered Jump Securities with an auto-callable feature due July 15, 2031, linked to the S&P U.S. Equity Momentum 40% VT 4% Decrement Index.
Investors pay $1,000 per note (estimated value $899.50) and receive no interest. Starting July 13, 2027, the notes are automatically redeemed if the index closing level is at least the call threshold of 1,159.332 (85% of the initial level 1,363.92), for fixed early redemption payments corresponding to about 10.75% per annum, from $1,107.50 up to $1,528.542 per note.
If not called and the final index level is at or above the 15% buffer level, holders receive a fixed $1,537.50 per note; otherwise principal falls 1% for each 1% index decline beyond the buffer, with a minimum repayment of 15% of principal. The notes carry full issuer credit risk, limited secondary-market liquidity, exposure to a relatively new, leveraged, volatility-targeted index with a 4% annual decrement, and uncertain U.S. tax treatment.
Morgan Stanley Finance LLC is issuing Buffered PLUS notes linked to the Russell 2000 Index in an aggregate principal amount of $569,000, with each security having a stated principal amount of $1,000 and maturing on August 13, 2027.
The notes pay no interest. If the index finishes above the initial level of 2,977.805, investors receive principal plus 110% of the index gain, capped at a maximum payment of $1,212.50 per security. If the final level is between the initial level and the buffer level of 2,680.025 (a 10% buffer), investors receive only principal. Below the buffer, investors lose 1% of principal for each 1% further index decline, but not less than 10% of principal at maturity.
The securities are unsecured obligations of Morgan Stanley Finance LLC, fully and unconditionally guaranteed by Morgan Stanley, and all payments depend on Morgan Stanley’s credit. The estimated value on the pricing date is $990.80 per security, reflecting issuing, selling, structuring and hedging costs and potentially lower secondary market prices.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS notes with an aggregate principal amount of $1,500,000, in $1,000 denominations, fully and unconditionally guaranteed by Morgan Stanley. These unsecured principal-at-risk notes pay no interest and are linked to the common stock of Micron Technology, Inc.
If Micron’s final stock level exceeds the $948.80 initial level, holders receive principal plus 300% of the price increase, capped at a maximum maturity payment of $1,230 per note (123% of principal). If the final level is at or below the initial level but at or above the $806.48 buffer level (85% of initial), holders receive principal plus a positive return matching the stock’s percentage decline, effectively capped at a 15% gain.
If the final level is below the buffer, the payoff equals principal multiplied by the performance factor plus the 15% buffer amount, so investors lose 1% of principal for each 1% decline beyond the buffer, subject to a minimum payment of 15% of principal. The estimated value on the pricing date is $982.90 per note, below the $1,000 issue price, reflecting issuing, selling, structuring and hedging costs. The notes are subject to the credit risk of MSFL and Morgan Stanley and may have limited secondary market liquidity.
Morgan Stanley Finance LLC is offering $5,508,000 of Buffered Jump Securities with an auto-call feature due July 13, 2028, linked to NVIDIA Corporation common stock and fully guaranteed by Morgan Stanley. Each security has a $1,000 principal amount and an original issue price of $1,000.
The notes pay no interest and are principal-at-risk. They auto-redeem on July 28, 2027 for $1,215 per security if NVIDIA’s closing level on July 23, 2027 is at or above the initial level of $210.96. If held to maturity and NVIDIA is at or above this initial level, holders receive $1,000 plus the greater of a fixed $430 upside payment or 100% of the stock’s gain.
A 25% buffer protects principal down to a buffer level of $158.22; below this, losses are magnified at a 1.3333x downside factor and the maturity payment can fall to zero. The estimated value on the pricing date is $990.60 per security, reflecting embedded costs. All payments depend on Morgan Stanley’s credit.