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 a $550,000 offering of principal-at-risk, auto-callable notes linked to the Roundhill Memory ETF (DRAM). Each note has a stated principal of $1,000, an issue price of $1,000, an estimated value on the pricing date of $971.20, and a fixed coupon of 23.00% per annum.
The notes pay the fixed monthly coupon and will be automatically redeemed on specified dates if the underlier’s closing level is at or above the call threshold of $54.34. If not redeemed, maturity is June 2, 2027 with the observation date of May 25, 2027. If the final level is below the downside threshold of $29.887 (55% of the initial level), principal repayment at maturity is reduced pro rata and could be zero. Payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley, and all payments are subject to the issuer’s credit risk.
Morgan Stanley Finance LLC is offering Principal-at-Risk notes linked to ServiceNow common stock that mature on May 25, 2029. Each security has a stated principal amount of $1,000, an issue price of $1,000 and an estimated value on the pricing date of $966.80.
The notes pay a contingent coupon at an annual rate of 17.50% on scheduled coupon payment dates only if the closing level of the underlier is at or above the coupon barrier level (50% of the initial level). The notes are subject to automatic early redemption if the closing level on a redemption determination date is at or above the call threshold (100% of initial level). If not redeemed, maturity payoff depends on the final level relative to the downside threshold (50% of initial level): full principal if final level is at or above the downside threshold; otherwise payment equals principal times the performance factor (final/initial), which can result in a significant loss or complete loss of principal.
Morgan Stanley Finance LLC priced a $7,250,000 offering of structured, principal-at-risk notes due May 25, 2028, fully guaranteed by Morgan Stanley. The securities are issued at $1,000 per security with an estimated value of $960.60 on the pricing date and carry an automatic early‑redemption feature on the first determination date.
If not called, maturity payouts depend on the basket final level versus an initial level of 100 and an 80 buffer: upside is paid at a 125% participation rate when final level exceeds initial; if final level falls below the buffer, holders lose 1.25% of principal per 1% decline beyond the buffer. All payments are subject to issuer credit risk.
Morgan Stanley filed an amendment to its Form 13F restating the prior filing to remove an erroneously included holding in CUSIP 64119N608. The amendment states there are no other changes to the positions reported. The report also lists 24 other included managers and a holdings table total value of $1,651,637,694,209.
Morgan Stanley Finance LLC priced a $7,000,000 offering of Structured Investments—Enhanced Buffered Jump Securities linked to the S&P 500® Index, with a $1,000 stated principal per security and an original issue price of $1,000 per security. The notes mature on June 9, 2027 with an observation date of June 4, 2027.
Payment at maturity is conditional: if the final level is at or above the buffer level (6,352.450), holders receive principal plus a fixed $76.50 upside payment (7.65%). If the final level is below the buffer, losses apply at a 1.1765 downside factor for each 1% decline beyond the 15% buffer, and there is no minimum payment, meaning principal could be lost. The estimated value on the pricing date was $985.00 per security and all payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced principal-at-risk, auto-callable notes linked to the worst performing of the Dow Jones Industrial Average and the S&P 500. The securities have a $1,000 stated principal amount and $177,000 aggregate issuance and may auto-redeem on the first determination date for an early redemption payment of $1,140.50. At maturity investors either receive principal plus an upside payment (150% participation on the worst performing underlier), return of principal, or a principal loss equal to the percentage decline of the worst performing underlier below its 70% downside threshold; payments are unsecured and fully guaranteed by Morgan Stanley and are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk Contingent Income Memory Securities due May 28, 2030, fully guaranteed by Morgan Stanley. The securities pay a contingent coupon of 9.45% per annum on scheduled coupon dates only if each underlier is at or above its coupon barrier (80% of initial level) on the related observation date. At maturity, if each underlier is at or above its downside threshold (70% of initial level), investors receive the stated principal amount; otherwise the payment equals the stated principal amount multiplied by the performance factor of the worst performing underlier, which can cause substantial loss or total loss of principal. The offering price is $1,000 per security (estimated value on the pricing date: $966.30), aggregate principal amount $1,048,000. All payments are subject to Morgan Stanley's credit risk; these notes do not participate in any upside of the underliers.
Morgan Stanley Finance LLC is offering Principal at Risk structured notes linked to Nextpower Inc. (class A) with a stated principal of $1,000 per security and aggregate principal of $856,000. The notes mature on June 9, 2027 and pay a contingent coupon only if observation-date barriers are met.
The securities feature automatic early redemption on specified determination dates if the underlier equals or exceeds the call threshold, a 70% buffer against losses at maturity and a downside factor of 1.4286 that magnifies losses beyond the buffer. Estimated value on pricing was $975.60 per security; all payments remain subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC offers structured, principal-at-risk securities linked to the worst performing of the Russell 2000®, S&P 500® and the State Street® Health Care Select Sector SPDR® ETF. The notes have a $1,000 stated principal amount, an aggregate issuance of $37,915,000, a 10.00% contingency coupon (paid only if each underlier meets coupon barriers on observation dates) and a maturity of February 25, 2028. The securities include a 25% buffer and a downside factor of 1.3333, exposing investors to losses if the worst performing underlier falls below its buffer; the notes may be called early based on a risk‑neutral valuation model. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a contingent income auto-callable note issuance with an aggregate principal amount of $706,000. The notes, fully guaranteed by Morgan Stanley, have a $1,000 stated principal amount per security, a 10.00% annual contingent coupon, automatic early‑redemption features tied to a 3,136.950 call threshold and a five‑year final maturity on May 28, 2031.
The notes reference the S&P® 500 Futures 40% Intraday 4% Decrement VT Index (initial level 3,605.69), carry principal‑at‑risk if the final level falls below the downside threshold (60% of initial level = 2,163.414), and had an estimated value on pricing of $909.30 per security. Purchasers bear issuer credit risk, potential loss of principal, possible nonpayment of coupons, and embedded index features including a 4% annual decrement and intraday leverage.