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 $50,000,000 of unsecured Callable Contingent Income Memory Buffered Securities, fully and unconditionally guaranteed by Morgan Stanley and linked to the worst-performing of the Dow Jones Industrial Average, Nasdaq‑100 Equal Weighted Index and Russell 2000 Futures Excess Return Index.
The notes pay a 10.00% per annum contingent coupon only when each index closes at or above its coupon barrier (75% of its initial level) on an observation date; missed coupons can be paid later if a future observation meets the barrier, without additional interest. From October 15, 2026, the issuer may redeem the notes in whole on scheduled redemption dates if a risk neutral valuation model indicates early redemption is economically rational for Morgan Stanley; investors then receive principal plus the applicable coupon and any unpaid coupons.
If not redeemed early, investors receive full principal at maturity on July 13, 2029 only if each index’s final level is at or above its 25% buffer. Otherwise, principal is reduced using a 1.3333 downside factor applied to the decline of the worst index beyond the buffer, potentially to zero. The estimated value on the pricing date is $987.20 per $1,000 security, and all payments are subject to Morgan Stanley’s credit and limited liquidity risks.
Morgan Stanley Finance LLC is issuing $1,252,000 of Enhanced Buffered Jump Securities, $1,000 principal per security, maturing August 13, 2027, linked to the worst performer among the Nasdaq-100 Technology Sector Index, the Russell 2000 Index and the S&P 500 Index. The notes pay no interest and are fully and unconditionally guaranteed by Morgan Stanley.
At maturity, if the final level of each index is at or above 85% of its initial level, holders receive $1,000 + $141.50 per security (a 14.15% return). If any index finishes below its 85% buffer level, repayment is reduced in line with the decline of the worst index beyond the 15% buffer, subject to a minimum payment of 15% of principal. The securities are unsecured, not FDIC-insured, and depend on Morgan Stanley credit; the bank’s estimated value at pricing was $987.20 per $1,000 security, reflecting issuance, structuring and hedging costs and likely secondary-market discounts.
Morgan Stanley Finance LLC is offering $2,320,000 of Contingent Income Auto-Callable Securities, fully and unconditionally guaranteed by Morgan Stanley, with a $1,000 stated principal amount per security, maturing on January 16, 2029. The notes are linked to the worst performer of the Nasdaq-100 Index, Russell 2000 Index and State Street SPDR S&P Regional Banking ETF.
Investors may receive a 10.25% per annum contingent coupon, but only when all underliers are at or above 70% of their initial levels on the relevant observation date. The notes auto-call from January 11, 2027 onward if all underliers are at or above 100% of initial, returning principal plus the coupon. If not called and any underlier finishes below 60% of its initial level, principal is reduced one-for-one with the worst underlier’s decline and can be lost entirely. The estimated value on the pricing date is $966.70 per $1,000 note, and all payments are subject to the credit risk of MSFL and Morgan Stanley.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Enhanced Buffered Jump Securities linked to Constellation Energy Corporation common stock in $1,000 denominations. These unsecured notes pay no interest and do not guarantee repayment of principal at maturity.
At maturity on August 4, 2027, if the stock’s closing level on July 30, 2027 is at or above 65% of its initial level, holders receive $1,000 plus a fixed upside payment of at least $133.50 per security, regardless of how much the stock has risen. If the final level is below 65% of the initial level, repayment is reduced by 1.5385% for every 1% decline beyond the 35% buffer, with no minimum payment, so the entire investment can be lost.
The issue price is $1,000 per security, while the estimated value on the pricing date is approximately $984, reflecting issuing, selling, structuring and hedging costs and the issuer’s funding rate. All payments depend on the credit of Morgan Stanley Finance LLC and Morgan Stanley.
Morgan Stanley Finance LLC is issuing market-linked notes due July 24, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount, pays no interest and is linked to the S&P 500® Futures Excess Return Index.
At maturity, holders receive $1,000 plus an upside payment if the index’s final level exceeds its initial level, calculated as $1,000 × 150% × underlier percent change; otherwise they receive only principal. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, have an estimated value of approximately $975.30 per note on the pricing date and will not be listed on an exchange, so secondary market liquidity may be limited.
The securities are treated as contingent payment debt instruments for U.S. federal income tax purposes, so U.S. investors generally must accrue interest income annually at a comparable yield, and gains are generally taxed as ordinary interest income rather than capital gain.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing principal-at-risk Jump Securities with an auto-call feature due July 28, 2029, linked to the worst performer of the S&P 500 Index and the S&P 500 Equal Weight Index, in $1,000 denominations.
The notes may be automatically redeemed on July 29, 2027 for $1,096.50 or on July 18, 2028 for $1,193.00 per $1,000 if each index is at or above its call threshold. If held to maturity and both indexes stay at or above 80% of their initial levels (SPX 7,515.34; SPW 8,677.68), investors receive $1,289.50; otherwise they lose 1% of principal for each 1% decline in the worst index and could lose the entire investment.
All payments depend on Morgan Stanley credit. The estimated value on the pricing date is approximately $973.10 per security, below the $1,000 issue price, reflecting fees and hedging costs. Liquidity may be limited, and U.S. federal tax treatment is uncertain, with counsel viewing the notes as prepaid financial contracts.
Morgan Stanley Finance LLC is offering Dual Directional Buffered PLUS notes linked to the VanEck Rare Earth and Strategic Metals ETF, maturing on February 2, 2028, with Morgan Stanley providing a full and unconditional guarantee.
The notes pay no interest and are principal-at-risk. If the ETF rises, investors receive leveraged upside at a 200% participation rate, capped at a maximum payment of 135% to 137% of principal. If the ETF is flat or down but above a 25% buffer, investors earn an absolute return on the decline, up to 25%. Below the buffer, losses match the ETF’s decline beyond 25%, with a minimum payment of 25% of principal.
The issue price is $1,000 per security, while the estimated value on the pricing date is approximately $958.30, reflecting issuance, selling, structuring and hedging costs and the issuer’s funding rate. The notes are unsecured obligations subject to Morgan Stanley’s credit risk, may have limited or no secondary market liquidity, and involve tax and sector risks tied to rare earth and strategic metals companies.
Morgan Stanley Finance LLC is offering Contingent Income Memory Auto-Callable Securities due July 20, 2029 with a stated principal amount of $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley and linked to Broadcom, Capital One Financial and Shift4 Payments common stocks.
The notes pay a 16.25% annual contingent coupon only when each underlier closes at or above 50% of its initial level on specified observation dates, with missed coupons potentially paid later if conditions are met. Securities may be automatically redeemed starting July 19, 2027 if all underliers are at or above 100% of their initial levels, returning principal plus due coupons.
If not redeemed and, at maturity, any underlier is below its 50% downside threshold and all are below initial levels, repayment is reduced 1% for each 1% decline of the worst performer, potentially to zero. The initial issue price is $1,000 but the estimated value on the pricing date is about $908.20 per security, and all payments are subject to Morgan Stanley’s credit risk, with limited expected secondary market liquidity and complex, uncertain tax treatment.
Morgan Stanley Finance LLC is offering Buffered PLUS, principal-at-risk structured notes due July 24, 2031, linked to the S&P 500 Futures Excess Return Index. Each security has a $1,000 stated principal amount, pays no interest, and is fully and unconditionally guaranteed by Morgan Stanley.
At maturity, investors receive $1,000 plus 200% of any index gain; if the index is flat or down but not below 80% of its initial level, they receive only principal. Below that 20% buffer, principal is lost one-for-one, but not below a 20% minimum payment of principal. The estimated value on the pricing date is approximately $968.80 per security. The notes are unsecured, subject to Morgan Stanley’s credit risk, may have limited or no secondary market, and involve complex and uncertain U.S. tax treatment. The index’s closing level was 601.90 on July 13, 2026 as historical context.
Morgan Stanley Finance LLC is offering Enhanced Trigger Jump Securities, unsecured notes fully and unconditionally guaranteed by Morgan Stanley, linked to the Class A common stock of Constellation Brands, Inc. The notes pay no interest and are part of the Series A Global Medium-Term Notes program.
Each security has a $1,000 stated principal amount and matures on July 29, 2027. If on the observation date the underlying stock is at or above the downside threshold level of $107.792 (80% of the $134.74 initial level), investors receive $1,000 plus a fixed upside payment of $184.90
If the final level is below the downside threshold, the payout equals $1,000 multiplied by the performance factor (final level divided by initial level), causing a 1% loss of principal for each 1% decline in the underlier, with no minimum payment. The estimated value on the pricing date is approximately $981.30 per security, reflecting issuance, selling, structuring and hedging costs. All payments are subject to the credit risk of Morgan Stanley Finance LLC and Morgan Stanley, and secondary market liquidity may be limited.