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 Buffered PLUS principal-at-risk notes linked to the S&P 500® Index with a $1,000 stated principal amount per security and an aggregate principal amount of $100,000. The securities mature on May 30, 2031 and provide 125% leveraged upside subject to a 156% maximum payment and a 10% downside buffer. If the index is at or above the buffer on the observation date, holders receive principal; if below the buffer, holders lose 1% of principal for each 1% decline beyond the 10% buffer, subject to a 10% minimum payment.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk notes linked to the EURO STOXX 50® Index with a $1,000 stated principal per security and an aggregate offering of $3,514,000. The notes can auto‑call on the first determination date (June 2, 2027) if the index closing level is at or above the call threshold (6,064.15), producing an early redemption payment of $1,100 per security. If not called, maturity is May 29, 2031; payout at maturity depends on index performance with a 200% participation rate for appreciation, a downside threshold at 50% of the initial level (3,032.075), and full exposure to losses below that threshold. The estimated value on the pricing date was $952.30 per security; the securities are unsecured obligations of MSFL and are guaranteed by Morgan Stanley, and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities due June 1, 2029 linked to the worst performing of the iShares® Silver Trust (SLV) and the SPDR® Gold Trust (GLD). Each security has a stated principal amount of $1,000 and an upside payment of $670 (67% of principal) if both underliers finish at or above their 70% downside thresholds on the observation date. If the final level of either underlier is below its downside threshold, holders lose 1% of principal for each 1% decline in the worst performing underlier; there is no minimum payment and the securities could pay zero at maturity. The offering aggregates $1,650,000; the issue price per security is $1,000 and the estimated value on the pricing date is $972.00. All payments are subject to Morgan Stanley Finance LLC and Morgan Stanley credit risk, and MS & Co. acts as agent and calculation agent.
Morgan Stanley Finance LLC priced $598,000 of Structured Jump Notes linked to the Morgan Stanley Amplitude Index, fully guaranteed by Morgan Stanley. The notes have a $1,000 stated principal per note, no periodic interest, a participation rate of 100% and an automatic early redemption feature beginning on May 26, 2027 with fixed early redemption payments that imply approximately 10.50% per annum. At maturity on June 1, 2033, holders receive principal plus any upside if the final index level exceeds the initial level (initial level: 207.78); otherwise they receive only principal. All payments are subject to the issuers and guarantors credit risk. The estimated value on the pricing date was $903.10 per note; the issue price was $1,000 per note (agents commission $42.50 per note).
Morgan Stanley Finance LLC offers Principal at Risk Contingent Income Auto-Callable Securities due December 1, 2027, fully and unconditionally guaranteed by Morgan Stanley. The offering is linked to the worst performing of the Dow Jones Industrial Average (INDU) and the State Street® Energy Select Sector SPDR® ETF (XLE) and has a stated principal amount of $1,000 per security.
The securities pay a contingent coupon of 9.25% per annum only if on each observation date both underliers are at or above their coupon barrier levels (75% of initial levels). Automatic early redemption may occur on specified dates if both underliers meet call thresholds (100% of initial levels). At maturity, if either underlier is below its downside threshold (75% of initial level), holders suffer a proportional loss tied to the worst performing underlier; principal could be significantly reduced or zero. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC is offering $408,000 aggregate principal of structured, market-linked notes due May 30, 2031, fully and unconditionally guaranteed by Morgan Stanley. The notes reference the S&P 500® Futures Excess Return Index, have a 144% participation rate in upside and return the stated principal at maturity if the final level is equal to or below the initial level.
The notes were issued at $1,000 per note (estimated value on the pricing date: $971.50), have an initial level of 604.90 (strike date May 26, 2026), an observation date of May 27, 2031 and are unsecured obligations of MSFL with payments subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced contingent income auto-callable notes tied to Chewy, Inc. Class A common stock. The notes have a $1,000 stated principal amount, $1,000 issue price and aggregate principal of $650,000. They pay a contingent coupon at an annual rate of 15.90% on observation dates only if Chewy's closing level is at or above the $12.714 coupon barrier (60% of the initial level). The notes are auto‑callable if Chewy's closing level is at or above $21.19 (the call threshold) on any redemption determination date, in which case investors receive principal plus any payable coupons. If not auto‑redeemed, maturity payment returns principal only if the final level is at or above the downside threshold of $12.714 (60%); if below, repayment equals the stated principal multiplied by final/initial level, exposing investors to full downside. All payments are subject to issuer and guarantor credit risk and the securities do not guarantee principal or regular interest.
Morgan Stanley Finance LLC is offering Trigger PLUS notes due May 31, 2030, fully guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and returns are linked to the worst performing of the Russell 2000® and S&P 500® indices. At maturity investors either receive principal plus a 130% leveraged upside if the worst performing underlier is up, full principal if the worst performing underlier is down but remains at or above 75% of its initial level, or suffer a pro rata loss if the worst performing underlier declines below that threshold. All payments are subject to Morgan Stanley's credit risk; the securities pay no interest and have no guaranteed minimum payment.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable securities due May 31, 2030 that are fully and unconditionally guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security and an aggregate principal amount of $330,000.
The securities are linked to the worst performing of the S&P 500, Nasdaq-100 and Dow Jones Industrial indices, carry a 150% participation rate for upside at maturity, and feature automatic early redemption opportunities beginning with the first determination date on May 28, 2027. The securities do not pay interest, expose investors to issuer credit risk and can result in a total loss of principal if the worst performing underlier falls below its downside threshold (70% of its initial level).
Morgan Stanley Finance LLC is offering Principal at Risk, contingent income auto-callable securities linked to NVIDIA Corporation common stock with a stated principal of $1,000 per security and aggregate principal of $3,590,000. The securities pay a contingent coupon at an annual rate of 14.50% only if the underlier meets the coupon barrier on observation dates and are automatically redeemed if the underlier meets the call threshold on any redemption determination date. The initial level (strike) was $214.86 and the coupon barrier and downside threshold are $128.916 (60% of initial level). If not auto‑redeemed, maturity is July 1, 2027; if the final level is below the downside threshold, payment at maturity equals principal multiplied by the performance factor and could be significantly less than, or equal to zero, reflecting full principal risk. All payments are subject to the issuer’s and guarantor’s credit risk.