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 offers principal-at-risk, contingent-income auto-callable securities tied to the Class A common stock of Carvana Co., with a stated principal amount of $1,000 per security and maturity on June 10, 2031. The notes pay a contingent coupon at an annual rate of 26.50% on each coupon date only if the underlier meets the coupon barrier (set at 60% of the initial level) on the related observation date. The notes are automatically redeemed early if the underlier equals or exceeds the call threshold (set at 100% of the initial level) on a redemption determination date. At maturity, if the final level is below the downside threshold (also 60% of the initial level), investors suffer a pro rata principal loss equal to the underlier’s decline; payment could be significantly less than principal or zero. The estimated value on the pricing date is approximately $931.30 per security. All payments are unsecured and subject to Morgan Stanley Finance LLC’s and Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced Principal at Risk securities linked to the worst performing of the Russell 2000® and the S&P 500®. Each note has a $1,000 stated principal amount and will mature on July 15, 2027. If both underliers finish at or above their 70% downside thresholds on the observation date, holders receive principal plus a fixed $97.50 upside payment (9.75%). If the worst performing underlier finishes below its downside threshold, the maturity payout equals principal multiplied by that underlier’s performance factor, exposing investors to full principal loss, with no interest payments. Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley; all payments remain subject to Morgan Stanley’s credit risk. The estimated value on the pricing date is approximately $988.10 per security.
Morgan Stanley Finance LLC offers Buffered PLUS notes due May 30, 2031, fully and unconditionally guaranteed by Morgan Stanley, linked to the S&P 500® Futures Excess Return Index. Each security has a stated principal amount of $1,000 and does not pay interest.
The notes provide a 201.40% leverage factor on upside, a 20% buffer (buffer level = 80% of the initial level), and a minimum payment at maturity of 20% of principal. Payments depend on the closing index level on the observation date May 27, 2031, and all payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced contingent-income, principal-at-risk notes tied to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal amount, a 16.00% annual contingent coupon and possible automatic early redemption. Maturity is June 6, 2031 with final observation on June 3, 2031. Coupons are paid only if the underlier meets the coupon barrier (70% of initial level) on observation dates; full principal is repaid at maturity only if the final level is at or above the downside threshold (60% of initial level). If the final level is below that threshold, payment at maturity equals the stated principal multiplied by the performance factor (final level / initial level), exposing investors to a loss proportionate to the underlier decline. The underlier includes a 4.0% per annum decrement, employs intraday rebalancing with significant leverage at times, and has limited live history (established August 30, 2024). Estimated value on the pricing date was approximately $949.50 per security. All payments are subject to issuer and guarantor credit risk.
The Preliminary Pricing Supplement describes market-linked notes issued by Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, linked to the S&P 500® Futures Excess Return Index. Each note has a $1,000 stated principal, matures on June 5, 2031, and pays no interest. At maturity investors receive the stated principal plus an upside payment only if the underlier’s final level on the observation date exceeds the initial level; otherwise they receive only the stated principal. The participation rate is 117%. The pricing/strike date is June 2, 2026 and the observation date is June 2, 2031. The estimated value on the pricing date is approximately $940.00 per note. The notes will not be listed on an exchange and are subject to Morgan Stanley’s credit risk, limited secondary market liquidity, and U.S. federal income tax treatment as contingent payment debt instruments.
Morgan Stanley Finance LLC offers Principal at Risk structured notes linked to the common stock of Micron Technology, Inc. The securities have a $1,000 stated principal amount, a 53% upside payment ($530) if the final level is at or above a 50% downside threshold, and mature on December 16, 2027. The pricing and strike date is June 12, 2026, original issue date June 17, 2026, and the observation date is December 13, 2027. The estimated value on the pricing date is approximately $964.10 per security. If the final level is below the downside threshold, the payment equals the stated principal amount multiplied by the performance factor (final level/initial level), and investors can lose up to their entire investment.
Morgan Stanley Finance LLC is offering Trigger PLUS notes linked to the S&P 500® Index due July 6, 2032, fully and unconditionally guaranteed by Morgan Stanley. Each Trigger PLUS has a stated principal amount of $1,000, an initial issue price of $1,000, a leverage factor of 133% and a trigger level equal to 85% of the initial index value. At maturity investors receive $1,000 plus 133% of the index increase if the final index value is above the initial value (capped at a maximum payment to be set on the pricing date and described here as at least $1,850 per note). If the final index value is between the trigger level and the initial value, investors receive $1,000. If the final index value is below the trigger level, investors suffer pro rata losses (1% loss of principal for each 1% index decline), potentially losing their entire investment. The document discloses estimated value on the pricing date of approximately $950.70 (within $55.00) and states proceeds and commission details, hedging practices, tax uncertainty and multiple material risk factors.
Morgan Stanley Finance LLC priced Principal-at-Risk, auto-callable notes linked to Carvana Co. Class A common stock, with a stated principal amount of $1,000 per security and an original issue price of $1,000. The securities have a strike date of June 9, 2026, an original issue date of June 12, 2026 and a maturity date of June 12, 2031. Automatic early redemption can occur on sequential determination dates beginning June 16, 2027, if the closing level of the underlier is at or above a call threshold of 80% of the initial level. A downside threshold is set at 60% of the initial level; if the final level is below that threshold, repayment at maturity equals the stated principal multiplied by the performance factor (final level/initial level), which could result in loss of principal, possibly to zero. The estimated value on the pricing date is approximately $925.60 per security. All payments are unsecured and subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced a series of Trigger PLUS notes due July 5, 2029 that provide leveraged upside linked to a five‑index international equity basket and are fully guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and a leverage factor of 150.55%. At maturity investors receive $1,000 plus leveraged participation if the final basket value is above the initial value; they receive $1,000 if the final basket value is between the initial value and an 80% trigger level; if the final basket value is below the trigger level, repayment equals the stated principal multiplied by the basket performance factor, exposing investors to potential loss of most or all principal. The securities pay no interest, are unsecured obligations of MSFL, carry Morgan Stanley credit risk and are not listed.
Morgan Stanley Finance LLC priced Trigger PLUS notes linked to the worst performing of the iShares® Semiconductor ETF (SOXX) and the VanEck® Semiconductor ETF (SMH). The securities have a $1,000 stated principal amount, mature on June 3, 2030, and reference the closing levels on the observation date of May 29, 2030. At maturity investors receive principal plus a 111% leveraged upside if the worst performing underlier finishes above its initial level; if the worst performing underlier finishes below its downside threshold (70% of initial), investors suffer proportional principal loss (no minimum payment).
The issuer is Morgan Stanley Finance LLC, guaranteed by Morgan Stanley; all payments are subject to Morgan Stanley's credit risk. The estimated value on the pricing date was approximately $941.40 per security.