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 auto-callable principal-at-risk securities linked to the common stock of UnitedHealth Group Incorporated with a face amount of $1,000 per security and a maturity date of May 17, 2027. The contingent coupon rate is 10.50% per annum, payable monthly if the stock closing price on each monthly calculation day is at or above the coupon threshold price of $258.818 (70% of the starting price). The securities carry downside exposure if the ending price is below the downside threshold ($258.818), and may be automatically called beginning after a six-month non-call period if the stock closing price is at or above the starting price ($369.74) on a calculation day. The estimated value on the pricing date was $975.70 per security. Agent commissions and proceeds per security are shown on the cover page.
Morgan Stanley Finance LLC priced contingent-income, auto-callable principal-at-risk notes linked to Alphabet Inc. Class A common stock. Each security has a stated principal amount of $1,000 and an issue price of $1,000. The notes pay a contingent coupon at an annual rate of 15.20% on observation dates if the closing level of the underlier meets the coupon barrier. The notes are automatically redeemed early if the underlier reaches the call threshold on a redemption determination date; if not redeemed, maturity payoff depends on the final level versus the downside threshold (approximately 75% of the initial level). All payments are unsecured and subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk Structured Investments (Enhanced Trigger Jump Securities) linked to ServiceNow, Inc. common stock with a stated principal amount of $1,000 per security and an aggregate principal amount of $550,000. The securities mature on November 12, 2027 and pay no interest.
At maturity investors receive the stated principal plus a fixed upside payment if the arithmetic-average final level on specified averaging dates is at or above the downside threshold. If the final level is below the downside threshold, the payment equals the stated principal multiplied by the performance factor and could be significantly less or zero. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC prices a retail offering of Principal-at-Risk Auto-Callable Securities linked to General Electric Company common stock with an aggregate principal amount of $3,884,000. The notes pay a contingent coupon at an annual rate of 11.20%, are automatically redeemable on specified observation dates if the underlier meets the call threshold, and return principal at maturity only if the final level is at or above the downside threshold; otherwise principal is reduced pro rata by the underlier's decline.
The securities have a stated principal amount of $1,000 per security, an estimated value on the pricing date of $971.60, a pricing/strike date of May 7, 2026, an original issue date of May 12, 2026, and a maturity date of November 12, 2027. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk securities linked to Alphabet Inc. Class A common stock with a stated principal amount of $1,000 per security and an aggregate principal amount of $3,063,000. The securities pay a contingent coupon at an annual rate of 10.52% only when the underlier meets the coupon barrier on observation dates, feature automatic early redemption if the underlier meets the call threshold on specified redemption determination dates, and expose investors to full downside below the downside threshold of $258.694 (approximately 65% of the initial level). The estimated value on the pricing date was $973.20 per security; original issue price is $1,000 per security, including a $15 agent commission. All payments are subject to issuer and guarantor credit risk; holders do not participate in any appreciation of the underlier and may lose some or all principal.
The Pricing Supplement details an offering of Principal at Risk structured notes by Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, with a stated principal of $1,000 per security and aggregate principal of $1,235,000. The securities reference the S&P 500® Futures Excess Return Index, have an initial/strike level of 590.94, a participation rate of 150%, an early redemption payment of $1,126.50 if the underlier meets the call threshold on the first determination date, and a maturity date of June 6, 2029. The first determination date for automatic early redemption is May 10, 2027, and the downside threshold is 60% of the initial level (354.564), exposing holders to full downside below that level. The estimated value on the pricing date was $976.80 per security. All payments are subject to issuer credit risk; these securities do not pay interest and can result in loss of principal.
Morgan Stanley Finance LLC priced $2,857,000 of leveraged buffered S&P 500® Index‑Linked Notes due June 23, 2027, offered at $1,000 per $1,000 face amount. The notes provide 130% upside participation capped at $1,170.30 per $1,000 and a 10.00% downside buffer; losses occur if the index declines more than 10.00% from the initial level. The trade date was May 7, 2026, the original issue date May 12, 2026, and the determination date is June 21, 2027.
Morgan Stanley Finance LLC is offering contingent income, principal-at-risk securities with a stated principal amount of $1,000 per security and a contingent annual coupon of 10.20%. The securities reference the S&P U.S. Equity Momentum 40% VT 4% Decrement Index, can auto-redeem on specified observation dates, and mature on May 20, 2031. If the final level is below the buffer level (85% of initial), principal is reduced pro rata beyond the buffer, subject to a 15% minimum payment. The estimated value on the pricing date was approximately $901.60. All payments are subject to MSFL’s credit risk and the securities do not pay regular interest; unpaid contingent coupons may be paid later only if future observation dates meet the coupon barrier (70% of initial).
Morgan Stanley Finance LLC offers $1,013,000 of Principal at Risk participation securities due May 12, 2031, fully and unconditionally guaranteed by Morgan Stanley. The securities reference the S&P 500® Index, pay no interest, and return at maturity is linked to the index closing level on the observation date.
Payment is threefold: (1) if the final level > initial level, holders receive principal plus up to a 100% upside participation capped at $2,260 per security; (2) if final level declines but is >= the 70% downside threshold, holders receive principal plus a positive payment tied to the absolute decline; (3) if final level < the downside threshold, holders lose principal proportionally (1% loss per 1% index decline). All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced structured notes fully guaranteed by Morgan Stanley that pay based on the worst performing of the Russell 2000®, S&P 500® and the State Street® Utilities Select Sector SPDR® ETF. The offering totals $6,790,000 in aggregate principal, at a $1,000 stated principal amount per security and an issue price of $1,000 per security.
The securities mature on August 12, 2027 with the observation date on August 9, 2027. If the worst performing underlier is at or above its 80% buffer level at observation, each security pays the stated principal plus a fixed $132 upside payment (13.20%). If the worst performing underlier is below its buffer level, losses are applied at a 1.25 downside factor beyond the 20% buffer and could result in substantial or total loss of principal. All payments are subject to Morgan Stanley’s credit risk. The estimated value on the pricing date was $987.40 per security.