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 $1,374,000 of Contingent Income Memory Buffered Auto-Callable Securities due July 15, 2031, at $1,000 per security, linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index and fully and unconditionally guaranteed by Morgan Stanley.
Holders may receive a 9.35% per annum contingent coupon, paid only if the index closes at or above the 60% coupon barrier (818.352) on each observation date; missed coupons may be paid later if the barrier is met. The notes auto-call at par plus due coupons if the index is at or above its 100% call threshold (1,363.92) on specified monthly redemption determination dates starting July 12, 2027.
If not called and the final index level is at or above the 85% buffer level (1,159.332), investors receive principal back plus any due coupons; below that, they lose 1% of principal for each 1% further index decline, subject to a minimum payment at maturity of 15% of principal. The securities are unsecured, subject to Morgan Stanley’s credit risk, may have little or no secondary market, and have an estimated value on the pricing date of $898.50 per $1,000 due to issuance, selling, structuring and hedging costs.
Morgan Stanley Finance LLC is issuing $1,000-denomination Jump Securities with an auto-call feature, fully and unconditionally guaranteed by Morgan Stanley. The notes, maturing July 13, 2029, are linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Index and Russell 2000 Index and pay no interest.
The notes may be automatically redeemed on scheduled determination dates if every index is at or above its call threshold (100% of its initial level), paying early redemption amounts that correspond to about 17.15% per annum, up to $1,343 per security. At maturity, if not called, investors receive principal plus 150% of the gain of the worst index only if all three finish above initial; principal is returned if all stay at or above 70% of initial. If any index ends below 70% of its initial level, repayment is reduced in proportion to the decline of the worst index, down to zero. The notes are unsecured, subject to Morgan Stanley credit and liquidity risk, have an estimated value of $962.60 per $1,000, and involve complex U.S. tax treatment.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $4,832,000 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. The notes pay no interest and are principal-at-risk obligations subject to Morgan Stanley’s credit.
Each security has a $1,000 stated principal amount and may be automatically redeemed on quarterly determination dates starting July 13, 2027 if the index is at or above the call threshold level of 1,363.92. Early redemption payments range from $1,183.50 to $1,902.208 per $1,000, corresponding to an approximate 18.35% per annum return. If held to maturity and not previously called, investors receive $1,917.50 per $1,000 if the final index level is at or above the call threshold, the principal amount back if it is between the 15% buffer and the threshold, and a linear loss beyond the 15% buffer, with a minimum payment of 15% of principal.
The estimated value on the pricing date is $903.40 per security versus the $1,000 issue price, reflecting structuring, hedging and distribution costs, including a $47.50 sales commission per note. The complex underlier is a relatively new, volatility-targeting decrement index, and the issuer highlights limited liquidity, model-based valuation, tax uncertainty and potential conflicts of interest as key risks.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering $1,105,000 of Callable Contingent Income Securities due July 13, 2029, linked to the worst performing of the Dow Jones Industrial, Nasdaq-100 Index and Russell 2000 Index.
The notes pay a 12.00% per annum contingent coupon only if on each observation date all three indices are at or above their coupon barrier levels, set at 75% of their initial levels; otherwise no coupon is paid for that period. Principal is at risk: if at maturity any index is below its downside threshold level, set at 70% of its initial level, investors lose 1% of principal for every 1% decline of the worst performer, potentially losing the entire investment.
Beginning January 14, 2027, the issuer may redeem the notes on specified dates at par plus any due coupon if a risk neutral valuation model indicates redemption is economically rational for Morgan Stanley, which the risk factors state is more likely when the notes would otherwise pay above-market coupons. The securities are unsecured obligations of MSFL, subject to Morgan Stanley’s credit, have an estimated value of $983.50 per $1,000 at pricing due to issuance and hedging costs, may have limited or no secondary liquidity, and do not provide any participation in index appreciation.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Fixed Income Buffered Auto-Callable Securities linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. The notes have a $1,000 denomination and $1,303,000 aggregate principal, pay a fixed coupon of 7.10% per annum monthly, and are scheduled to mature on July 15, 2031.
Starting July 12, 2027, the notes are automatically redeemed at par plus coupon if the index closes at or above the call threshold/initial level of 1,363.92; no further payments occur after an early redemption. If held to maturity and not called, investors receive full principal if the final index level is at or above the buffer level of 1,159.332 (85% of initial), but lose 1% of principal for each 1% decline beyond the 15% buffer, subject to a minimum maturity payment of 15% of principal, in each case plus the final coupon.
The estimated value is $917.50 per note versus the $1,000 issue price, reflecting selling, structuring and hedging costs and Morgan Stanley’s funding rate. Key risks include equity-index performance risk, Morgan Stanley credit risk, limited or no secondary market liquidity, conflicts of interest in MS & Co.’s roles, and complex, uncertain U.S. federal tax treatment, including potential 30% withholding for some non-U.S. investors.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering market‑linked, principal‑at‑risk securities with a $1,000 face amount per note, maturing August 2, 2027. The notes are linked to the worst performer of NVIDIA and Broadcom common stock and provide a contingent fixed return of at least 20% at maturity if the lowest‑performing stock finishes at or above its threshold level.
If that stock closes below 60% of its starting price on the calculation day, investors are fully exposed to its decline and can lose more than 40%, up to their entire investment. The notes pay no interest or dividends, may have limited liquidity, and their estimated value on the pricing date is about $961.30 per $1,000, below the price to the public.
Morgan Stanley Finance LLC is offering Market Linked Securities with a face amount of $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley, linked to the common stock of Blackstone Inc. and maturing on July 25, 2029.
The notes pay a contingent coupon at a rate of at least 17.00% per annum, but only for months when Blackstone’s stock closes at or above a coupon threshold set at 70% of the starting price; coupons can be zero for the entire term. Beginning about three months after issuance, the securities are auto-callable monthly if the stock closes at or above the starting price, in which case investors receive the $1,000 face amount plus the final contingent coupon and no further payments.
If the notes are not called and the final stock price is at or above the downside threshold (also 70% of the starting price), investors receive $1,000 at maturity; if it is below that level, repayment is reduced in proportion to the stock’s decline, so investors will lose more than 30% and could lose their entire investment. The current estimated value is approximately $961.90 per security, below the $1,000 face amount due to issuing, selling, structuring and hedging costs. All payments are subject to Morgan Stanley’s credit risk, secondary market liquidity may be limited, and the U.S. tax treatment is uncertain, with potential 30% withholding on coupons for some non-U.S. holders.
Morgan Stanley Finance LLC is offering $1,000,000 of Contingent Income Auto-Callable Securities due July 13, 2029, linked to the worst performing of the EURO STOXX 50 Index, the Russell 2000 Index and the State Street Utilities Select Sector SPDR ETF, fully guaranteed by Morgan Stanley.
The notes pay a contingent coupon of 8.20% per annum only if, on each observation date, all three underliers are at or above their coupon barrier levels set at 60% of initial. They auto-call at par plus coupon if, on a redemption determination date, all underliers are at or above their call thresholds, set at 100% of initial.
If not called, principal is repaid at maturity only if every underlier finishes at or above its downside threshold (also 60% of initial); otherwise, repayment is reduced 1% for each 1% decline of the worst performer, potentially to zero. Notes are issued at $1,000 with an estimated value of $984.80 and issuer proceeds of $997.50 per security; all payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering $3,315,000 of Buffered Participation Securities due January 13, 2028, unsecured obligations fully and unconditionally guaranteed by Morgan Stanley. Each $1,000 security pays no interest and its payoff depends on the worst performing of the Russell 2000 Index and the S&P 500 Index.
If both final index levels exceed their initial levels, holders receive principal plus 100% of the worst underlier’s gain, capped at a maximum payment of $1,253.50 per security. If the worst underlier finishes between 80% and 100% of its initial level, investors receive only the $1,000 principal. Below the 80% buffer, principal is reduced 1% for each additional 1% decline in the worst underlier, but not below a 20% minimum payment of principal.
The securities are principal-at-risk notes subject to the credit risk of MSFL and Morgan Stanley and are not insured by any governmental agency. The estimated value on the pricing date is $972.60 per security, below the $1,000 issue price, reflecting costs of issuing, selling, structuring and hedging that may also weigh on secondary-market prices and liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Buffered Jump Securities with an auto-call feature due July 15, 2031. Each security has a $1,000 stated principal amount, total issuance of $278,000, and is linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. The notes pay no interest. Starting July 13, 2027, they are automatically redeemed if the index closes at or above the call threshold level of 3,593.39, for step-up early redemption payments corresponding to an annualized return of about 19%.
If not redeemed early, payment at maturity depends on the final index level: $1,950 per security if at or above the call threshold; return of principal if between the call threshold and the 15% buffer level (3,054.382); and a 1% loss 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 $909.50 per security, below the $1,000 issue price, reflecting structuring and distribution costs. Investors face Morgan Stanley credit risk, limited liquidity, complex exposure to a leveraged futures-based index with a 4% per annum decrement and limited live history, and significant downside risk.