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 priced contingent income auto-callable securities linked to the iShares Expanded Tech-Software Sector ETF. The notes have a $1,000 stated principal amount, an aggregate issuance of $885,000, and pay a contingent coupon at an annual rate of 11.00% only when the underlier meets observation-date thresholds.
The securities are unsecured obligations of MSFL, fully guaranteed by Morgan Stanley, provide no regular interest, may be automatically redeemed early if the underlier meets the call threshold, and expose investors to full downside risk at maturity if the final level is below the 70% downside threshold.
Morgan Stanley Finance LLC priced a structured, principal-at-risk security linked to Apple Inc. stock. The securities have a $1,000 face amount, an estimated value of $918.50 on the pricing date and pay at maturity based on Apple’s closing price on the calculation day with a 100% participation rate subject to a maximum return of 132.10% ($1,321) and a 25% downside buffer. The starting price is $308.33 (pricing date May 26, 2026), the threshold price is $231.2475, the calculation day is May 26, 2033, and scheduled maturity is June 1, 2033. The offering price was $1,000 per security; agent commissions up to $43.70 per security produced proceeds to the issuer of $956.30 per security.
Morgan Stanley Finance LLC priced Principal at Risk notes tied to the S&P 500® Futures Excess Return Index with a stated principal amount of $1,000 per security and an aggregate offering of $678,000. The securities mature on May 30, 2031 and are fully guaranteed by Morgan Stanley.
The payoff can provide an upside payment of $512 per security if the final level is at or above the initial level, a capped positive return if the underlier falls but stays at or above the 15% buffer, and full downside participation beyond the buffer (1% loss per 1% decline). All payments remain subject to issuer credit risk and the estimated value on pricing date was $944 per security.
Morgan Stanley Finance LLC priced a contingent-income, principal-at-risk note due May 30, 2031 guaranteed by Morgan Stanley with a $1,000 stated principal amount per security and an aggregate offering of $4,646,000. The notes pay a contingent coupon of 10.25% per annum on observation dates only if the underlier closes at or above the coupon barrier (70% of the initial level). The notes feature automatic early redemption if the underlier is at or above the call threshold (100% of initial level) on redemption determination dates, a buffer equal to 15% (buffer level ~ 1,278.783) and a minimum maturity payment of 15% of principal. Estimated value on pricing date was $900.80 per security; proceeds to issuer after commissions were $4,432,284.
Morgan Stanley Finance LLC priced an offering of Principal-at-Risk, auto-callable notes linked to the S&P 500® Index with Morgan Stanley guaranteeing payment obligations. The issue totals $2,250,000 at a stated principal amount of $1,000 per security and an original issue price of $1,000.
The notes can be automatically redeemed on specified determination dates beginning November 27, 2026 if the closing level of the index is at or above the call threshold (initial level 7,519.12). Early redemption payments range from $1,045.10 to $1,157.85; maturity payments can be $1,180.40, $1,000, or principal × performance factor depending on final index level and a downside threshold of 5,639.34 (75% of initial level).
Morgan Stanley Finance LLC offers Trigger Absolute Return Step Securities linked to a weighted Basket of international indices with a $3,700,900 aggregate issue and a $10.00 Issue Price per Security. These five‑year, principal‑at‑risk notes (maturity May 29, 2031) are fully guaranteed by Morgan Stanley and pay no interest.
The Payment at Maturity depends on the Final Basket Level versus a Step Barrier (100) and a Downside Threshold (75). If the Final Basket Level is ≥100, holders receive $10 plus the greater of the Step Return (42.00%) or the Basket Return. If the Final Basket Level is <100 but ≥75, holders receive $10 plus the absolute value of the negative Basket Return. If the Final Basket Level is <75, holders receive $10 × (1 + Basket Return) and may lose a substantial portion or all principal. All payments are subject to issuer credit risk and Calculation Agent discretion.
Morgan Stanley Finance LLC is offering Principal at Risk securities due June 1, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an annual contingent coupon of 11.20% payable only if each underlier meets its coupon barrier on scheduled observation dates.
The notes are linked to the Dow Jones Industrial Average, the Russell 2000® Index and the State Street® Technology Select Sector SPDR® ETF and pay at maturity either the stated principal (if each underlier is at or above its downside threshold) or an amount equal to the stated principal multiplied by the performance factor of the worst performing underlier. Coupon barrier levels are set at 70% of each initial level and downside thresholds at 65%. The securities are callable beginning June 8, 2027 if a risk neutral valuation model indicates redemption is economically rational for the issuer. Aggregate principal offered is $690,000.
Morgan Stanley Finance LLC priced a primary offering of Principal at Risk contingent-income auto-callable notes due May 30, 2031 with an aggregate principal amount of $719,000. Each security has a $1,000 stated principal amount and was issued at $1,000 per security.
The securities pay a contingent coupon at an annual rate of 9.00% only if the closing level of the S&P® 500 Futures 40% Intraday 4% Decrement VT Index meets the coupon barrier on observation dates. They are automatically redeemable early if the index closes at or above the call threshold on any redemption determination date; if held to maturity and the final level is below the downside threshold, investors suffer a pro rata loss (payment = stated principal × final level / initial level). All payments are subject to MSFL's credit risk and guaranteed by Morgan Stanley.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable securities linked to Alphabet Inc. class A common stock. Each note has a $1,000 stated principal amount and an original issue price of $1,000; the aggregate principal amount offered is $500,000. The notes pay a contingent coupon at an annual rate of 19.16% on specified observation dates only if the underlier meets the coupon barrier (80% of the initial level). The securities may be automatically redeemed on specified redemption determination dates if the underlier meets the call threshold (100% of the initial level). At maturity, if the final level is below the downside threshold (80% of the initial level), investors suffer a proportional loss of principal (payment = $1,000 × final level/initial level). All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced Callable Contingent Income Buffered Securities linked to the worst performing of the NDXT Index, RTY Index and XLU Fund. The notes have a $1,000 stated principal amount, issue price of $1,000 and aggregate principal of $1,000,000. They offer a contingent coupon at an annual rate of 10.00% payable only if the closing level of each underlier meets its coupon barrier on each observation date and include a 20% buffer with a 20% minimum payment at maturity. The securities are callable beginning August 31, 2026 based on the output of a risk neutral valuation model. All payments are subject to the issuer and guarantor credit risk of Morgan Stanley Finance LLC and Morgan Stanley.