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.
The issuer, Morgan Stanley Finance LLC (guaranteed by Morgan Stanley), proposes Principal at Risk notes linked to the worst performing of the Dow Jones Industrial Average and the S&P 500. Each security has a $1,000 stated principal amount and an original issue price of $1,000. The observation date is August 30, 2027 and the maturity date is September 2, 2027. Payouts are tied solely to closing levels on the observation date: investors may receive the stated principal plus upside (capped at $1,116.50), a limited positive return if the worst performing underlier declines but remains above an 81% buffer, or a loss of principal once the worst performing underlier falls below the 81% buffer down to a minimum payment of 19% of principal. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC is offering contingent income, memory buffered, auto-callable notes due May 28, 2031, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and a contingent annual coupon of 12.50% payable only if the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index meets the coupon barrier on observation dates. The securities can auto-redeem early if the index is at or above the call threshold (100% of the initial level) on redemption determination dates. At maturity, if the final index level is below the buffer level (85% of initial), investors bear losses dollar-for-dollar beyond the 15% buffer, subject to a minimum payment of 15% of principal. Estimated value on pricing date was approximately $932.00 per security.
Morgan Stanley Finance LLC is offering Buffered Digital MSCI EAFE® Index-Linked Notes (principal at risk) fully and unconditionally guaranteed by Morgan Stanley. Each note has a Face Amount of $1,000. The notes pay no interest and mature based on the MSCI EAFE® Index performance with an expected term of approximately 24 to 27 months. If the Final Underlier Level is ≥ 87.50% of the Initial Underlier Level, holders receive a Maximum Settlement Amount expected between $1,159.60 and $1,187.70 per $1,000 note. If the Final Underlier Level is below that threshold, repayment is reduced by a formula using a Buffer Rate of approximately 114.29%, and investors may lose some or all principal. The estimated value on the Trade Date is approximately $989.50 per note. All payments are subject to issuer credit risk and secondary-market liquidity may be limited.
Morgan Stanley Finance LLC is offering principal-at-risk notes due July 9, 2027, linked to the worst performing of the Russell 2000® and the S&P 500®. Each security has a $1,000 stated principal amount and a fixed $136 upside payment if neither underlier falls below its downside threshold.
At maturity the payment is either the stated principal plus the upside payment if both underliers are at or above 85% of their initial levels on the observation date, or a loss equal to the full percentage decline of the worst performing underlier; there is no interest and no minimum payment.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering Performance Leveraged Upside Principal at Risk Securities (PLUS) linked to an equally weighted basket of ten stocks with a stated principal amount of $1,000 per PLUS and maturity date of June 10, 2027. The securities pay no interest, provide 150% leverage on positive basket performance up to a maximum payment of $1,315 per PLUS (131.50% of principal), and expose investors on a 1:1 basis to negative basket performance (principal can be fully lost). The pricing date is May 29, 2026 and the original issue date is June 3, 2026. The estimated value on the pricing date is approximately $952.40 per PLUS (within $35.00 of that estimate). The basket initial level is set to 100 and the valuation date is June 7, 2027. All payments are subject to issuer and guarantor credit risk; these PLUS are unsecured and unlisted.
Morgan Stanley Finance LLC is offering market-linked notes due May 30, 2031 that are unsecured obligations of MSFL and fully and unconditionally guaranteed by Morgan Stanley. Each note has a $1,000 stated principal amount and pays no periodic interest. At maturity investors receive the stated principal amount plus an upside payment only if the S&P 500® Futures Excess Return Index (the underlier) closes above its initial level on the observation date; the participation rate is 144%. The pricing date and strike date are May 26, 2026, the original issue date is May 29, 2026, and the observation date is May 27, 2031. The estimated value on the pricing date was approximately $970.90 per note. All payments are subject to Morgan Stanley’s credit risk; the notes are not listed and do not pay interest.
Morgan Stanley Finance LLC priced a preliminary pricing supplement to offer Buffered PLUS principal-at-risk securities linked to the worst performing of the iShares Russell Mid‑Cap ETF and the S&P 500 Index.
The securities have a $1,000 stated principal amount, 120% leverage on upside, a 20% buffer (80% buffer level), a maximum payment at maturity of $1,219 per security, a minimum payment of 20% of principal, a strike/pricing date of June 1, 2026, an observation date of December 1, 2027 (subject to postponement), and a maturity date of December 6, 2027.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes with a stated principal amount of $1,000 per security and an original issue price of $1,000. The notes pay a contingent coupon at an annual rate of 8.80% on each coupon payment date only if every referenced underlier meets its coupon barrier on the related observation date, are automatically redeemable early if all underliers meet call thresholds on a redemption determination date, and return principal at maturity only if each underlier is at or above its downside threshold; otherwise payment at maturity equals the stated principal multiplied by the performance factor of the worst performing underlier (potentially resulting in total loss). Key dates include strike/pricing on May 22, 2026, original issue date May 28, 2026, final observation date November 22, 2027, and maturity November 29, 2027. All payments are unsecured obligations of MSFL and fully guaranteed by Morgan Stanley and remain subject to issuer credit risk.
Morgan Stanley Finance LLC is offering structured notes — Callable Contingent Income Memory Buffered Securities with principal at risk and a contingent 10.00% annual coupon (if all three underliers meet coupon barrier levels on observation dates). Each security has a $1,000 stated principal amount and an estimated pricing-date value of approximately $992.80. The securities reference the worst performing of the Russell 2000®, the S&P 500® and the State Street Health Care Select Sector SPDR® ETF. A 25% buffer applies; at maturity investors lose 1.3333% of principal for each 1% decline in the worst performing underlier beyond the buffer. The notes may be called beginning on June 25, 2026 if a risk neutral valuation model indicates redemption is economically rational; final observation date is February 22, 2028 and maturity is February 25, 2028. All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC offers contingent income auto-callable notes due July 2, 2027, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and a contingent coupon at an annual rate of 11.00%. Coupons pay only if both underliers meet coupon barrier levels on observation dates; automatic early redemption occurs if both underliers meet call thresholds on redemption determination dates beginning November 30, 2026. If not called, repayment at maturity depends on the worst performing underlier versus its downside threshold (both set at 80% of initial levels); losses are 1% per 1% decline of the worst performing underlier. The securities reference the Nasdaq-100® Technology Sector and the S&P 500® Index. Estimated value on the pricing date was approximately $968.10 per security. All payments are subject to issuer and guarantor credit risk.