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 structured note offering — Dual Directional Buffered Participation Securities due June 17, 2027 with an aggregate stated principal amount of $437,000 (440 securities at $1,000 each). The notes are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley. Payments are linked to the worst performing of the Russell 2000® Index and the S&P 500® Index on the observation date and are subject to Morgan Stanley credit risk.
The terms include a 16.50% buffer (83.50% buffer level), an absolute return participation rate of 50%, an upside participation rate of 100% capped at a maximum upside payment of $1,112.50 (111.25% of principal), and a minimum payment at maturity of 16.50% of principal. Investors receive no interest and may lose a material portion of principal if the worst performing underlier falls below the buffer.
Morgan Stanley Finance LLC priced Buffered PLUS securities linked to the worst performing of the iShares Russell Mid-Cap ETF and the S&P 500 Index. Each security has a stated principal amount of $1,000, an original issue price of $1,000 and an estimated value on the pricing date of $988.20.
At maturity on November 18, 2027, payoff is determined by the worst performing underlier: investors receive principal plus a leveraged upside payment (120% leverage) up to a $1,227.50 cap if the worst underlier appreciates, receive principal if the worst underlier stays within the 20% buffer, or incur dollar-for-dollar losses beyond the 20% buffer down to a minimum payment of 20% of principal. All payments are subject to the credit risk of Morgan Stanley.
Morgan Stanley Finance LLC is offering principal‑at‑risk notes linked to the common stock of Amazon.com, Inc. The notes have a stated principal amount of $1,000 per security, pay a fixed coupon of 10.08% per annum (monthly) and mature on June 2, 2027. At maturity, if the underlier’s final level is at or above a downside threshold equal to 70% of the initial level, holders receive the stated principal; if the final level is below that threshold, holders receive the stated principal multiplied by the performance factor (final level/initial level), so principal can be significantly reduced or lost entirely. All payments are subject to issuer and guarantor credit risk. The estimated value on the pricing date was approximately $983.90 per security and the issue price is $1,000 (agent commission $10 per security).
Morgan Stanley Finance LLC is offering leveraged, buffered S&P 500® index-linked notes (each with a $1,000 Face Amount) due in an expected 14–16 month term, fully and unconditionally guaranteed by Morgan Stanley. The notes provide 200% Upside Participation up to a capped Maximum Settlement Amount (expected between $1,131.60 and $1,154.20 per $1,000). Investors are protected for declines in the Underlier up to a 10.00% buffer; declines beyond 10.00% produce proportional losses and could result in loss of principal. The Original Issue Price is $1,000, with an estimated Trade Date value of approximately $987.20 (within $15), and a selling agent concession of $8.70 per note. All payments are subject to issuer credit risk, no interest is paid, and the notes will not be listed on an exchange.
Morgan Stanley Finance LLC priced a contingent‑income, principal‑at‑risk note linked to the worst performing of Bank of America and JPMorgan Chase. The securities have a $1,000 stated principal amount, an issue price $1,000 per security and mature on November 18, 2027. They pay a contingent coupon at an annual rate of 11.05% on observation dates only if both underliers are at or above their coupon barrier levels. The securities are automatically redeemable on specified determination dates if both underliers meet call thresholds; otherwise final payoff at maturity depends on the worst performing underlier and may result in substantial loss of principal. All payments are subject to MSFL's and Morgan Stanley's credit risk.
Morgan Stanley Finance LLC offers Dual Directional Buffered Jump Securities due June 10, 2030, principal-at-risk notes fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and a fixed upside payment of $295 (29.50%) if the S&P 500® closing level on the observation date is at or above the initial level. The securities provide an absolute return participation rate of 400% for declines that remain above a 20% buffer, and a minimum payment at maturity of 20% of principal. Payments at maturity depend solely on the S&P 500® closing level on the observation date and are subject to Morgan Stanley’s credit risk; holders may lose a substantial portion of principal if the final level is below the buffer level.
Morgan Stanley Finance LLC is offering Principal at Risk auto-callable securities tied to the common stock of lululemon athletica inc. The notes have a stated principal amount of $1,000 per security, an aggregate principal amount of $500,000, and pay a fixed coupon of 12.80% per annum monthly until early redemption or maturity.
The securities can be automatically redeemed on specified redemption determination dates beginning May 12, 2027 if the closing level of the underlier is greater than or equal to the call threshold (initial level $125.13). If not redeemed, at maturity May 17, 2028 holders receive principal only if the final level is at or above the downside threshold ($68.822, ~55% of initial); otherwise principal is reduced pro rata by the underlier's decline.
Morgan Stanley Finance LLC priced Structured Investments Enhanced Buffered Jump Securities (principal-at-risk) linked to the S&P 500® Index with a stated principal amount of $1,000 per security and an aggregate principal amount of $750,000. The securities mature on June 17, 2027 and pay a fixed upside payment of $70.90 per security if the final level is at or above the buffer level. If the final level is below the buffer level (80% of the initial level), losses apply at a downside factor of 1.25, meaning a 1% decline beyond the 20% buffer reduces principal by 1.25%. The initial level is 7,444.25 and the buffer level is 5,955.40. The estimated value on the pricing date was $985.40 per security and the issue price was $1,000 (agent commissions $10.42 per security). All payments are subject to MSFL credit risk and there is no minimum payment at maturity.
Morgan Stanley Finance LLC priced Principal at Risk securities linked to Meta Platforms, Inc. Class A common stock. The securities have a $1,000 stated principal amount, $170.60 fixed upside payment and an aggregate offering of $1,350,000. They pay no interest, are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley. At maturity on June 1, 2027, if the final level is at or above a buffer level (approximately 85% of the initial level), investors receive principal plus the fixed upside payment; if below the buffer, losses occur at a 1.1765 downside factor, and there is no minimum payment (investors could lose their full investment). The securities were issued with an estimated value on the pricing date of $983.20 and include issuance costs reflected in the $1,000 issue price. Payment calculations use the closing level on the observation date of May 26, 2027, subject to postponement for market disruptions.
Morgan Stanley Finance LLC priced Structured Investments Enhanced Trigger Jump Securities linked to the iShares Silver Trust (SLV). Each security has a stated principal amount of $1,000 and a fixed upside payment of $212.50 (21.25%) if the final level is at or above a downside threshold of 70% of the initial level. If the final level is below that threshold, investors absorb losses pro rata (1% loss in the underlier = 1% principal loss); there is no minimum payment at maturity. The pricing date and strike date were May 27, 2026, the observation date is June 28, 2027 (subject to postponement) and the stated maturity is July 1, 2027. The document discloses an estimated value of approximately $963.40 per security on the pricing date and emphasizes that all payments are subject to Morgan Stanley's credit risk.