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 contingent income, auto-callable principal-at-risk securities linked to the iShares U.S. Medical Devices ETF. 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 approximately $955.70. The notes pay a contingent coupon of 9.30% per annum on observation dates when the closing level of the underlier is at or above an 85% coupon barrier and may automatically redeem early if the underlier meets a 100% call threshold on any redemption determination date. At maturity, if the final level is below an 85% downside threshold, investors suffer proportional principal loss (performance factor = final level / initial level). All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering principal-at-risk, callable jump securities linked to the S&P 500® Futures Excess Return Index with a stated principal amount of $1,000 per security and an original issue price of $1,000 per security. The securities do not pay interest and expose investors to loss of principal if the final level is below the downside threshold; the participation rate is 400% and the downside threshold is 70% of the initial level. The securities are callable beginning on June 4, 2027; scheduled fixed redemption payments (if called) start at $1,180 on that date and increase on subsequent redemption dates. The estimated value on the pricing date is approximately $963.50 per security. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities (principal at risk) due March 6, 2028. Each note has a $1,000 stated principal amount and a contingent coupon of 11.60% per annum payable only if the closing level of each underlier meets its coupon barrier on each observation date. The securities are linked to the worst performing of the Russell 2000® Index, the XLV Fund and the XLK Fund, and pay principal at maturity only if each underlier is at or above its downside threshold (65% of its initial level). If the worst performing underlier closes below its downside threshold at maturity, holders lose an amount proportional to that underlier’s decline. The notes are unsecured obligations of MSFL and fully and unconditionally guaranteed by Morgan Stanley; all payments are subject to Morgan Stanley’s credit risk. The issuer may call the notes beginning December 4, 2026 based on the output of a risk neutral valuation model.
Morgan Stanley Finance LLC offers principal-at-risk, structured notes due June 1, 2029 linked to the worst performing of the iShares Silver Trust (SLV) and the SPDR Gold Trust (GLD).
The securities have a $1,000 stated principal amount and an upside payment of $670 per security (a 67% return) if the final level of each underlier is at or above its downside threshold (70% of initial level). If the worst performing underlier is below its downside threshold, the payment equals principal multiplied by that underlier’s performance factor and could be zero. The observation date is May 29, 2029 (maturity June 1, 2029); estimated value on the pricing date was approximately $947.90 per security.
Morgan Stanley Finance LLC priced a series of principal-at-risk, auto-callable notes due June 1, 2029, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 per security and an original issue date of June 1, 2026. The securities may be automatically redeemed on specified determination dates beginning June 3, 2027 for early redemption payments that correspond to approximately a 14.30% per annum return, with a final scheduled payment of $1,429.00 at maturity if every underlier meets its call threshold.
Returns are linked to the worst performing of the Dow Jones Industrial Average, the Nasdaq-100® Technology Sector Index and the Russell 2000® Index. A downside threshold of 70% of initial level applies; if any underlier finishes below that level, investors bear proportional principal loss (1% loss per 1% decline in the worst performing underlier). All payments are subject to Morgan Stanley's credit risk and the securities do not pay interest.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable structured notes tied to the Global X Uranium ETF, fully and unconditionally guaranteed by Morgan Stanley. 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 approximately $954.
The securities pay no interest and can be automatically redeemed early if the underlier meets the call threshold on scheduled determination dates, with fixed early redemption payments ranging from $1,192.50 to $1,336.875. If not redeemed, payment at maturity is $1,385.00 if the final level is at or above the downside threshold (60% of the initial level); otherwise the maturity payment equals the performance factor times principal and could be significantly less or zero. Commissions and fees include an agent sales commission of $17.50 and a structuring fee of $1 per security.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent-income auto-callable securities due May 30, 2031, fully guaranteed by Morgan Stanley. Each note has a stated principal amount of $1,000, a contingent coupon at an annual rate of 9.00% and an estimated value on the pricing date of approximately $915.10. The notes pay contingent coupons only if the underlier meets the coupon barrier on observation dates, can be automatically redeemed early if the underlier meets a call threshold, and at maturity repay principal only if the final level is at or above a downside threshold; otherwise investors suffer proportional principal loss tied to the underlier's decline. The underlier is the S&P® 500 Futures 40% Intraday 4% Decrement VT Index, which includes a 4.0% per annum decrement and was established August 30, 2024. All payments are subject to issuer and guarantor credit risk and U.S. tax treatment is described as uncertain.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable notes with a $1,000 stated principal amount per security that are fully and unconditionally guaranteed by Morgan Stanley. The securities may be automatically redeemed on December 2, 2027 if each underlier meets its call threshold on the first determination date; the early redemption payment is $1,625 per security. If not redeemed, payment at maturity on June 3, 2031 depends on the worst performing of three ETF underliers (IGV, XLF and XLU): holders may receive the stated principal plus an upside payment when the worst performing underlier appreciates (participation rate 300%), only the stated principal if declines remain above downside thresholds (each downside threshold = 60% of initial level), or a reduced payment proportional to the decline of the worst performing underlier (potentially down to zero). All payments are subject to issuer and guarantor credit risk; the document states an estimated value of approximately $948.20 per security on the pricing date.
Morgan Stanley Finance LLC is offering Principal at Risk Buffered Participation Securities tied to the S&P 500® Index with a stated principal amount of $1,000 per security. The securities mature on June 24, 2027 with an observation date of June 21, 2027.
Payment at maturity depends on the index closing level on the observation date: gains are paid at a 100% participation rate up to a $1,168 maximum per security; losses are absorbed only after a 10% buffer, and the minimum payment at maturity is 10% of stated principal. The estimated value on the pricing date is approximately $991.60 per security. All payments are subject to the issuer and guarantor credit risk of Morgan Stanley.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk, contingent income auto‑callable securities due May 25, 2028 linked to the worst performing of Alphabet (GOOGL), Eli Lilly (LLY) and Palantir (PLTR). The securities have a $1,000 stated principal amount and an issue price of $1,000 per security. They pay a contingent coupon at an annual rate of 26.45% only if each underlier meets its coupon barrier on observation dates, offer automatic early redemption if each underlier meets its call thresholds on redemption determination dates, and expose investors to a potential loss of principal at maturity tied to the worst performing underlier. All payments are subject to the issuer’s and guarantor’s credit risk.