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 contingent‑income auto‑callable note due May 13, 2031 that is fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount (issue price $1,000), an estimated value on the pricing date of $905.30, and an aggregate issuance of $157,000. The notes pay a contingent coupon at an annual rate of 14.75% only if the underlier meets the coupon barrier on observation dates and are automatically redeemed early if the underlier meets the call threshold on redemption determination dates. At maturity, if the final level is below the downside threshold, investors lose 1% of principal for each 1% decline in the underlier; repayment could be significantly less than principal and could be zero.
Morgan Stanley Finance LLC priced structured, market-linked notes due June 22, 2029 linked to the worst performing of the Nasdaq-100 and the S&P 500. Each note has a $1,000 stated principal amount and a participation rate of 100% with a maximum payment at maturity of $1,268.50.
The notes pay no interest; payment at maturity depends solely on the closing levels on the observation date (June 18, 2029). If either underlier is equal to or below its strike level, holders receive only the stated principal. All payments are subject to MSFL’s and Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced contingent-income, principal-at-risk notes linked to the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index. Each security has a $1,000 stated principal amount and an estimated value on the pricing date of approximately $903.50. The notes pay a contingent coupon at an annual rate of 9.00% on observation dates when the underlier is at or above the coupon barrier (70% of the initial level). The notes are automatically called if the underlier is at or above the call threshold (90% of the initial level) on redemption determination dates, and mature on May 22, 2031. If not redeemed and the final level is below the buffer level (85% of initial), principal at maturity is reduced by losses beyond the 15% buffer, subject to a minimum payment of 15% of principal. All payments are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley; holders bear Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering $1,853,000 of principal-at-risk, contingent income auto-callable securities linked to Apple Inc. (underlier). Each note has a $1,000 stated principal amount, a contingent coupon at an annual rate of 10.00%, automatic early redemption mechanics, and matures on June 11, 2027.
The notes pay coupons only if the underlier's closing level meets the coupon barrier on observation dates, may auto‑redeem early if the call threshold is met, and expose holders to a loss at maturity if the final level is below the downside threshold (70% of the initial level). All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC offers principal-at-risk, contingent-income, memory buffered auto-callable securities linked to Alphabet Inc. (Class A). Each security has a $1,000 stated principal and issue price, with a pricing and strike date of May 15, 2026 and maturity on June 3, 2027.
The securities pay a contingent coupon (annual rate at least 17.48%) only if the underlier meets coupon barrier levels on observation dates. They feature automatic early redemption if the underlier meets a call threshold (100% of initial level) on redemption determination dates, a 15% buffer and a downside factor of 1.1765, exposing investors to principal loss beyond the buffer. All payments are subject to Morgan Stanley's credit risk.
The Preliminary Pricing Supplement for Morgan Stanley Finance LLC describes a series of principal‑at‑risk, dual directional trigger participation securities linked to the S&P 500® Index with a $1,000 stated principal amount per security. The securities mature on June 3, 2027 and pay no interest.
At maturity the payout depends on the index closing on the observation date (May 28, 2027): investors receive the stated principal plus upside (100% participation) capped at $1,100 per security if the final level is above the initial level; if the final level is between the downside threshold (at most 79% of the initial level) and the initial level, investors receive the stated principal plus a positive return equal to the absolute decline × 100% participation (effectively limited to a 21% positive return in disclosed examples); if the final level is below the downside threshold, investors lose on a 1% principal loss per 1% index decline and could lose the entire principal.
Morgan Stanley Finance LLC offers Principal‑at‑Risk callable contingent income buffered securities due May 14, 2027. Each security has a stated principal amount of $1,000 and the offering aggregates $1,268,000. The securities pay a contingent coupon at an annual rate of 19.75% only when each of the three underliers meets its coupon barrier on an observation date, otherwise no coupon is paid.
The securities are linked to the worst performing of Alphabet Inc. Class C, Meta Platforms Class A and NVIDIA common stock, include an 80% buffer level and a 20% buffer amount, and feature periodic redemption dates beginning August 13, 2026 determined by a risk neutral valuation model. If not redeemed and the final level of any underlier is below its buffer level, investors incur losses proportional to the worst performing underlier, subject to a minimum payment at maturity of 20% of principal. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering principal-at-risk structured notes linked to the S&P 500® Index with a one-year term maturing May 27, 2027. Each security has a stated principal amount of $1,000 and a fixed upside payment of $91.10 (9.11%) if the final level is at or above the buffer level. The securities provide a 10% buffer (buffer level 6,671.556) but expose investors to a 1.1111 downside factor for losses beyond the buffer, meaning investors lose 1.1111% of principal for every 1% decline beyond the buffer; there is no minimum payment and investors could lose their entire investment. The issue price is $1,000 with an estimated value on the pricing date of approximately $986.50, and all payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC prices Principal at Risk Contingent Income Securities due July 5, 2029 that are fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and a contingent coupon payable at an annual rate of 9.00% only if each underlier closes at or above its coupon barrier on each observation date. At maturity investors receive principal only if every underlier is at or above its downside threshold; otherwise the payment equals the stated principal multiplied by the performance factor of the worst performing underlier, which can result in a substantial loss of principal. The securities reference the Nasdaq-100 Technology Sector, Dow Jones Industrial Average and Russell 2000, are linked to the worst performing underlier, and carry issuer credit risk of Morgan Stanley. Timing anchors: strike/pricing date May 29, 2026, original issue date June 3, 2026, final observation date June 29, 2029, maturity July 5, 2029.
Morgan Stanley Finance LLC priced an $8,269,000 offering of Leveraged Buffered S&P 500® Index-Linked Notes due October 22, 2027. The notes pay no interest and return at maturity depends on the S&P 500® performance from the Trade Date May 8, 2026 to the Determination Date October 20, 2027.
Each $1,000 face amount offers 300% upside participation up to a Maximum Settlement Amount of $1,160.50, protects principal for declines up to 10.00% (Buffer Level = 90.00% of initial), and exposes holders to full downside below that buffer (Buffer Rate ≈ 111.11%). The estimated Trade Date value was $984.70 per note. All payments are subject to issuer and guarantor credit risk.