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 Jump Notes (auto-callable) linked to the S&P 500® Futures Excess Return Index. The notes have a stated principal amount of $1,000 per note, an aggregate principal amount of $556,000, an issue price of $1,000 per note and an estimated value on the pricing date of $976.40 per note. The notes pay no interest, carry a 100% participation rate, and are automatically redeemed on the first determination date if the underlier closing level is greater than or equal to the call threshold (596.49), producing an early redemption payment of $1,107.50 per note. If not auto‑redeemed, payment at maturity equals principal plus any upside (100% of underlier percent change) if the final level exceeds the initial level, otherwise only the stated principal will be paid. All payments are subject to issuer credit risk and the notes will not be listed.
Morgan Stanley Finance LLC prices structured, principal-at-risk notes linked to the worst performing of three ETFs, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an original issue price of $1,000 per security. The notes are auto-callable beginning on the first determination date of June 10, 2027 for staged early redemption payments (up to $1,950 on the last early redemption date). If not redeemed early, maturity outcomes include a fixed payment of $2,140 if all underliers meet upside thresholds, return of principal if all underliers remain above downside thresholds, or a principal loss equal to the decline of the worst performing underlier (payment could be zero). The estimated value on the pricing date was approximately $953.00 per security. The notes do not pay interest, expose investors to Morgan Stanley credit risk, and are linked to the iShares® Expanded Tech-Software ETF (IGV), VanEck® Gold Miners ETF (GDX), and iShares® 20+ Year Treasury Bond ETF (TLT).
Morgan Stanley Finance LLC priced a series of Trigger PLUS linked to the S&P 500® Index due June 3, 2032, fully and unconditionally guaranteed by Morgan Stanley. The offering aggregates $5,216,000 of unsecured, principal-at-risk notes with a stated principal amount of $1,000 per Trigger PLUS and an estimated value on the pricing date of $949.60.
At maturity the notes pay $1,000 plus 130% of any index gain up to a maximum of $1,850 (185% of principal). If the final index value is between the initial value (7,408.50) and the trigger level (85% of initial = 6,297.225), investors receive $1,000. If the final index value is below the trigger level, losses are proportional to the index decline and could result in a loss of all principal.
Morgan Stanley Finance LLC priced a series of Principal at Risk callable contingent income securities linked to the worst performing of the Dow Jones Industrial Average, the Nasdaq-100 Technology Sector Index and the Russell 2000 Index. Each security has a $1,000 stated principal amount and an original issue price of $1,000. The securities pay a contingent coupon of 12.85% per annum on each coupon payment date only if the closing level of each underlier is at or above its coupon barrier (70% of the initial level) on the related observation date. The securities are callable beginning on August 20, 2026 if a risk neutral valuation model indicates redemption is economically rational to the issuer. At maturity on February 18, 2028, if the final level of any underlier is below its downside threshold (70% of initial level), payment will equal the stated principal multiplied by the performance factor of the worst performing underlier, potentially resulting in a significant loss of principal.
Morgan Stanley Finance LLC offers $22,031,000 of structured notes — Principal-at-risk, contingent-income, memory buffered auto-callable securities linked to the common stock of NVIDIA Corporation, fully and unconditionally guaranteed by Morgan Stanley.
The securities have a $1,000 stated principal amount and an original issue price of $1,000 per security, an estimated value on the pricing date of $986.30 per security, and a maturity date of June 3, 2027. They pay a contingent coupon at an annual rate of 20.36% on specified observation dates only if the closing level of the underlier meets or exceeds the coupon barrier ($180.256, 80% of the initial level). The securities are automatically redeemable on specified redemption determination dates if the closing level meets or exceeds the call threshold ($225.32, the initial level). At maturity, if not redeemed and the final level is below the buffer ($180.256), investors lose 1.25% of principal for each 1% decline beyond the 20% buffer (downside factor 1.25), with no minimum payment.
Morgan Stanley Finance LLC is offering structured Jump Notes due May 31, 2030 linked to the worst performing share of Amazon, Alphabet (Class A) and NVIDIA. Each note has a $1,000 stated principal amount and an estimated pricing-date value of approximately $949.90 per note. The notes pay no interest and include an automatic early redemption feature: if on a determination date each underlier’s closing level is at or above its call threshold (100% of initial level), the notes will be redeemed for fixed early redemption payments (first such determination date: June 2, 2027). If not called, maturity payments will either return a fixed positive payment if every underlier meets its call threshold on the final determination date (May 28, 2030) or return only the stated principal if any underlier is below its threshold. All payments are unsecured and subject to Morgan Stanley’s credit risk. The notes do not provide equity upside participation and are not listed.
Morgan Stanley Finance LLC priced Principal-at-Risk Jump Securities linked to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500. The offering totals $2,957,000 in aggregate at a $1,000 issue price per security, with a stated maturity of June 21, 2027.
At maturity the payoff is based solely on the worst performing underlier: if every underlier is at or above its 70% downside threshold, investors receive the $1,000 stated principal plus an $115 upside payment; if any underlier is below its threshold, the payout equals principal × the worst performing underlier’s performance factor, and could be significantly less or zero. All payments are unsecured and subject to Morgan Stanley’s credit risk.
The Buffered PLUS are principal-at-risk notes issued by Morgan Stanley Finance LLC and fully guaranteed by Morgan Stanley. They reference an equally weighted 10-stock basket, mature on December 3, 2027, and were issued at $1,000 per Buffered PLUS with an aggregate principal amount of $3,370,000. At maturity the payoff is: (i) $1,000 plus 150% of the basket percent change if the final basket value is greater than the initial value, capped at a $1,241.50 maximum payment; (ii) $1,000 if the basket declines by <= 10% (the buffer); or (iii) a pro rata loss beyond the buffer with a $100 minimum (investors may lose up to 90% of principal). The estimated value on the pricing date was $923.30 per Buffered PLUS; there is no interest and secondary trading may be limited. All payments are subject to issuer credit risk and the calculation agent (an affiliate) will make valuation determinations.
Morgan Stanley Finance LLC is offering principal-at-risk, auto-callable securities linked to The Scotts Miracle-Gro Company common stock, with a $1,000 stated principal amount per security and a maturity date of June 1, 2029. The securities pay a contingent coupon only if the underlier meets barrier tests on specified observation dates and may be automatically redeemed early if the closing level meets the call threshold. If not redeemed, repayment at maturity depends on the final level versus a downside threshold; if the final level is below the downside threshold, investors suffer losses pro rata to the decline and could lose the entire principal. The pricing-date estimated value is approximately $952.80 per security. The contingent coupon rate will be set on the pricing date (indicated range 11.25% to 12.25%), and all payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC prices Principal at Risk auto-callable securities due May 28, 2031 linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each note has a $1,000 stated principal amount, a 10.00% contingent annual coupon (paid only if observation-date barriers are met), automatic early‑redemption dates beginning November 27, 2026, and downside protection that fails if the final level is below 60% of the initial level.
The preliminary pricing shows an estimated value on the pricing date of approximately $908.90 per security, and all payments are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley. Investors bear credit risk, may receive no coupons, and can lose a substantial portion or all principal if the final level is below the downside threshold.