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 notes due November 29, 2029 that are fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and the aggregate issuance is $1,104,000. Payout depends on the Russell 2000® Index performance measured on the observation date. If the final level is at or above the buffer level (85% of the initial level) holders receive the stated principal plus a fixed $291 upside payment (29.10%). If the final level is below the buffer level, holders lose 1% of principal for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal. The securities pay no interest, have an estimated value on the pricing date of $957.90 per security, and include agent commissions of $30.50 per security. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering $446,000 aggregate principal of market-linked notes due May 29, 2031, fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and return the stated principal at maturity; if the EURO STOXX 50® final level exceeds the initial level (6,064.15), holders receive the stated principal plus an upside payment equal to the appreciation times a 106.50% participation rate. The issue price is $1,000 per note, the estimated value on the pricing date was $934.80 per note, and selected dealers receive a $40 commission per note.
The notes are unsecured obligations of the issuer and expose investors to issuer credit risk, limited secondary-market liquidity, and taxation as contingent payment debt instruments (comparable yield 4.9072%). Payment at maturity depends solely on the closing level of the EURO STOXX 50® on the observation date; the notes are not listed on any exchange.
Morgan Stanley Finance LLC offers Structured Investments — Enhanced Buffered Jump Securities linked to the S&P 500® Index. The pricing supplement sets a $1,000 stated principal amount per security and an aggregate principal amount of $14,253,000. The securities mature on December 1, 2027 and pay no interest; repayment at maturity depends on the closing level of the S&P 500 on the observation date (November 26, 2027.
If the final level is ≥ the buffer level (85% of the initial level), holders receive the stated principal plus a fixed upside payment of $119.50 per security. If the final level is below the buffer, holders incur a loss of 1.1765% of principal for each 1% decline beyond the 15% buffer; there is no minimum payment and investors could lose their entire investment. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering $550,000 in market‑linked notes due November 26, 2027 that are fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, an issue price of $1,000 and an estimated value on the pricing date of $989.
Payments at maturity depend on the worst performing of the Dow Jones Industrial Average and the S&P 500® Index. Investors receive principal at maturity if either underlier is at or below its strike level; if the worst performing underlier is above its initial level, holders receive the stated principal plus 100% participation in that underlier’s appreciation, capped at a maximum payment of $1,127.50 per note. All payments are subject to issuer credit risk, the notes pay no interest and are not listed for trading.
Morgan Stanley Finance LLC priced Principal at Risk Auto-Callable Securities due May 30, 2031. Each note has a stated principal amount of $1,000 and an issue price of $1,000. The securities pay a contingent coupon (annual rate 10.15%) only if each underlier meets its coupon barrier on observation dates and may be automatically redeemed early if all underliers meet their call thresholds on a redemption determination date.
The notes are linked to the worst performing of four underliers (Alphabet Class C, Microsoft, Nasdaq-100 and S&P 500), do not guarantee principal, and expose investors to credit risk of Morgan Stanley and potential full loss of principal if the worst performing underlier falls below its downside threshold at maturity.
Morgan Stanley Finance LLC is offering principal-at-risk auto-callable notes tied to the worst performing of the Dow Jones Industrial Average and the State Street SPDR S&P Regional Banking ETF. The securities are issued at $1,000 per security with aggregate principal of $100,000 and mature on March 2, 2028.
The notes pay a contingent coupon at an annual rate of 9.00% on each coupon date only if both underliers meet their coupon barrier levels on the related observation dates; unpaid coupons may be paid later only if conditions are met. If not auto‑redeemed, redemption at maturity returns principal only if each underlier is at or above its downside threshold (70% of initial levels); otherwise payment equals the stated principal multiplied by the worst performing underlier’s performance factor, which can result in a substantial loss of principal.
Morgan Stanley Finance LLC priced $3,011,000 of Principal at Risk securities, guaranteed by Morgan Stanley. The notes pay a fixed coupon of 7.00% per annum, mature on May 30, 2031 and can be automatically redeemed beginning on May 26, 2027. The securities reference the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, do not participate in upside of the underlier, and provide a 15% buffer (buffer level 1,278.783 of initial level 1,504.45) before principal loss; minimum payment at maturity is 15% of principal. Issue price was $1,000 per security (estimated value on pricing date: $919.30), with agent commission of $41 per security.
Morgan Stanley Finance LLC is offering principal-at-risk notes tied to Amazon.com, Inc. common stock that pay a fixed annual coupon of 10.08% and mature on June 2, 2027. The securities are issued at $1,000 per security with an aggregate principal amount of $2,110,000 and an estimated value on the pricing date of $985.70. If the closing level of the underlier on the observation date is at or above the downside threshold ($185.703, 70% of the initial level), holders receive principal at maturity; if it is below that threshold, repayment is the stated principal multiplied by the performance factor (final level / initial level), exposing holders to possible loss of principal, potentially to zero. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC offers Principal at Risk structured notes totaling $475,000 under a pricing supplement for Dual Directional Trigger Jump Securities due May 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an issue price of $1,000 per security; estimated value on the pricing date was $938.10 per security. Payment at maturity depends on the S&P 500® Futures Excess Return Index: investors receive principal plus an upside feature if the final level is at or above the initial level (initial level 604.90), a capped positive return if the final level declines but remains at or above a 70% downside threshold (423.43), or a pro rata loss of principal below that threshold (1% loss per 1% index decline). The securities pay no interest, are unsecured obligations of MSFL, and expose holders to issuer credit risk and potential total loss of principal.
Morgan Stanley Finance LLC issues Structured Investments — Buffered Jump Securities with an aggregate principal amount of $4,000,000, fully and unconditionally guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per security and a fixed upside payment of $118.50 (11.85% of principal) at maturity if the final level of the S&P 500® Index is greater than or equal to the initial level. These principal-at-risk securities provide a 10% built-in buffer (buffer level = 90% of the initial level) before investors incur proportional losses beyond the buffer. The initial level is 7,519.12; the buffer level is 6,767.208. The observation date is June 22, 2027 and the maturity date is June 24, 2027. Payments are subject to the issuer’s and guarantor’s credit risk and the securities do not pay interest; a minimum payment at maturity is 10% of principal.