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 structured, principal-at-risk notes—Buffered Jump Securities—due May 25, 2028, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and may automatically redeem on the first determination date for at least $1,252.50 if the underlier meets the call threshold. At maturity investors receive either the stated principal plus an upside payment (participation rate 125%) if the final level is above the initial level, the stated principal if the final level is at or above the buffer level (80), or a reduced principal computed with a 1.25 downside factor if the final level is below the buffer. The securities do not pay interest, are exposed to issuer credit risk, and have an estimated value on the pricing date of approximately $975.00 per security.
Morgan Stanley Finance LLC priced a principal-at-risk, auto-callable note linked to the common stock of Blackstone Inc. The offering is for $1,000 per security with an aggregate principal amount of $5,000,000 and an estimated value on the pricing date of $960.40. The securities pay a contingent coupon at an annual rate of 13.05% on specified observation dates if the underlier meets the coupon barrier, are subject to automatic early redemption when the closing level meets the call threshold, and repay principal at maturity only if the final level is at or above the downside threshold; otherwise payment at maturity equals the stated principal multiplied by the performance factor and could be significantly less than the stated principal or zero.
The initial level (strike) and call threshold are $117.04, the coupon barrier and downside threshold are $81.928 (70% of initial), the final observation date is May 18, 2029 and maturity is May 23, 2029. All payments are subject to issuer and guarantor credit risk and the securities do not provide regular interest, do not participate in upside of the underlier, and include dealer commissions of $25 per security.
Morgan Stanley Finance LLC is offering $1,698,000 of structured, principal-at-risk notes fully guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount, a contingent annual coupon of $10.25%, an initial level of 1,423.40 and mature on May 20, 2031.
The securities pay contingent coupons only if the underlier meets the coupon barrier (996.38) on observation dates, are automatically callable if the underlier is at or above the call threshold (1,423.40) on redemption determination dates, and provide a 15% buffer at maturity with a minimum payment of 15% of principal. All payments are subject to issuer and guarantor credit risk; the estimated value on pricing date was $899.90 per security.
Morgan Stanley Finance LLC priced principal-at-risk notes linked to the S&P 500® Index with a $10,000,000 aggregate issuance. Each security has a $1,000 stated principal amount, an issue price of $1,000 and a stated upside payment of $76.90 (7.69%).
If the final level on the observation date is at or above the 85% buffer level, investors receive principal plus the fixed upside payment. If the final level is below the buffer level, losses apply at a downside factor of 1.1765 for each 1% decline beyond a 15% buffer; there is no minimum payment and investors could lose their entire investment. The securities are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley; all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering leveraged, buffered S&P 500® Index-linked notes fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 Face Amount and does not pay interest. The notes provide 130% upside participation in positive index returns subject to a cap (expected between 115.26%–117.95% of the Initial Underlier Level) and offer a 12.50% buffer against losses; if the Final Underlier Level is below 87.50% of the Initial Underlier Level, investors will suffer a scaled loss and could lose their entire investment. The expected term is approximately 18–21 months from the Trade Date; the Initial Underlier Level, Cap Level, Maximum Settlement Amount (expected between $1,198.38 and $1,233.35 per $1,000 Face Amount), and exact dates will be set on the Trade Date. Payments are subject to the issuer’s credit risk and the Calculation Agent is an affiliate of Morgan Stanley.
Morgan Stanley Finance LLC offers $506,000 of Principal at Risk Securities linked to Arista Networks, Inc., due May 24, 2027. The offering is priced at $1,000 face per security (price to public) with proceeds to the issuer of $498,030.50 and an estimated value of $965.70 per security on the pricing date of May 15, 2026. The securities pay a contingent coupon of 26.60% per annum on quarterly calculation days only if the stock closing price is at or above the coupon threshold (80% of the starting price). The starting price is $141.97, the coupon/downside threshold is $113.576 (80% of starting), the buffer is 20% and the multiplier is 1.25. If not auto-called, maturity pay can return full face or result in losses (subject to the 20% buffer and 1.25 multiplier); all payments are subject to issuer credit risk.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due February 18, 2028, fully and unconditionally guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security and an aggregate principal amount of $250,000.
The notes pay a contingent coupon at an annual rate of 12.00% on each coupon payment date only if the closing level of each underlier is greater than or equal to its coupon barrier level on the related observation date. Coupon barrier and downside threshold levels equal 70% of each underlier’s initial level. If any underlier is below its downside threshold at maturity, payment is the stated principal multiplied by the performance factor of the worst performing underlier, potentially resulting in a substantial loss of principal or zero repayment. The securities are callable beginning on November 19, 2026 based on the output of a risk neutral valuation model; under no circumstances will they be redeemed prior to that date.
Morgan Stanley Finance LLC offers Structured Investments Enhanced Buffered Jump Securities fully and unconditionally guaranteed by Morgan Stanley, with an aggregate principal amount of $14,074,000. The securities pay no interest; issue price is $1,000 per security and estimated value on the pricing date is $984.70.
At maturity on June 3, 2027, if the final level of the S&P 500® Index is >= the buffer level (90% of the initial level), holders receive the stated principal plus an upside payment of $90.50 per security (9.05%). If the final level is below the buffer, losses apply at a downside factor of 1.1111 beyond the 10% buffer; there is no minimum payment and investors may lose their entire investment. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced Principal at Risk notes linked to Dell Technologies Inc. Class C common stock, due June 21, 2027. Each note has a $1,000 stated principal amount and an upside payment of $194.50 (19.45%). If the final level is below the downside threshold of $120.995 (50% of the initial level), investors suffer proportional principal losses (1% loss per 1% decline), with no guaranteed minimum.
The securities are unsecured obligations of MSFL, fully guaranteed by Morgan Stanley, carry estimated value $973.30 on the pricing date, and include issuance costs reflected in the $1,000 issue price. Aggregation was for $250,000 principal; selected dealers receive $10 per security plus a $1 structuring fee. Payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced a primary offering of principal-at-risk callable notes due May 20, 2027 that pay a fixed annual coupon of 10.50% and are fully and unconditionally guaranteed by Morgan Stanley. The offering is sized at an aggregate principal amount of $490,000 (stated principal $1,000 per security) and has an original issue price of $1,000 per security with an estimated value on the pricing date of $980.90 per security. Payments at maturity depend on the worst performing of three underliers (the S&P 500®, Nasdaq-100® Technology Sector and Russell 2000®); if the final level of any underlier is below its downside threshold (approximately 70% of the initial level), principal will be reduced pro rata by the performance factor of the worst performing underlier. The notes are callable by the issuer based on a risk-neutral valuation-model determination, and all payments remain subject to Morgan Stanley’s credit risk.