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, fully guaranteed by Morgan Stanley, filed Amendment No. 1 to a preliminary pricing supplement for Enhanced Buffered Jump Securities due November 20, 2026 linked to the worst performer of the S&P 500 Futures Excess Return Index, Utilities Select Sector SPDR Fund, and Russell 2000 Index. The notes are sold at $1,000 per security, pay no interest, are principal-at-risk, and will not be listed.
The structure offers a digital payment of $121 per security (12.10%) at maturity if each underlier’s final level is at or above its digital threshold of 75% of initial. Repayment of principal is buffered so that if each underlier is at or above its buffer level of 90% of initial, investors also receive the stated principal amount. If any underlier finishes below its buffer, maturity value is reduced 1% for each 1% decline of the worst performer beyond the 10% buffer, subject to a minimum payment of 10% of principal.
The observation date is November 17, 2026. The estimated value on the pricing date is approximately $987 per security (within $25), reflecting issuance, structuring, and hedging costs. Sales are through fee-based advisory accounts; MS&Co., an affiliate, acts as agent without a sales commission. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC priced a structured note offering of Callable Jump Notes linked to the S&P 500 Futures Excess Return Index, fully and unconditionally guaranteed by Morgan Stanley. The notes carry a stated principal amount of $1,000 per note, an aggregate principal amount of $1,181,000, and were issued at $1,000 per note.
The issuer’s estimated value on the pricing date is $954.70 per note. Sales commissions are $31.25 per note, with proceeds to the issuer of $968.75 per note (total proceeds $1,144,093.75). The notes pay no interest and may be redeemed early, in whole but not in part, if a risk‑neutral valuation model indicates redemption is economically rational. The first possible redemption date is October 28, 2026, with scheduled redemption payments stepping up (e.g., $1,120 on the first date), corresponding to approximately 12.00% per annum.
If not redeemed, payment at maturity on October 21, 2030 equals principal plus a 120% participation in positive index performance; otherwise, investors receive principal only. The initial underlier level is 543.95. The notes are unsecured, subject to MS/MSFL credit risk, and will not be listed on any exchange.
Morgan Stanley Finance LLC is offering principal-at-risk Callable Contingent Income Securities due October 27, 2028, based on the worst performing of the S&P 500 Index, Nasdaq-100 Technology Sector Index, and Russell 2000 Index, and fully and unconditionally guaranteed by Morgan Stanley.
The notes pay a contingent coupon at 8.75% per annum only if each index closes at or above its coupon barrier on the related observation date; otherwise no coupon is paid. Starting April 29, 2026, the issuer may redeem the notes in whole on scheduled redemption dates if a risk neutral valuation model indicates it is economically rational to do so. At maturity, if not redeemed and each index is at or above its downside threshold (70% of initial level), investors receive the stated principal; if any index is below its threshold, repayment is reduced 1% for each 1% decline of the worst performer.
The issue price is $1,000 per security, with an estimated value on the pricing date of approximately $957.70 per security. Payments are subject to the issuer’s and guarantor’s credit risk, and the securities will not be listed on any exchange.
Morgan Stanley Finance LLC priced a primary offering of Market‑Linked Notes totaling $1,180,000, fully and unconditionally guaranteed by Morgan Stanley. The notes pay no interest and mature on October 21, 2030, with returns tied to a performance‑allocation basket of the S&P 500, EURO STOXX 50 and TOPIX. Basket weights are set on the observation date based on relative performance (50% best, 30% second, 20% worst).
At maturity, holders receive principal back if the basket performance factor is zero or negative; if positive, they receive principal plus upside at a 100% participation rate, capped at a maximum payment of $1,470 per $1,000 note. The notes were offered at $1,000 per note with an estimated value of $963.70. Agent commissions are $25 per note, for issuer proceeds of $975 per note (total $1,150,500). The notes will not be listed, and all payments are subject to the issuers’ credit risk.
Morgan Stanley Finance LLC priced a primary offering of Trigger Jump Securities due October 21, 2030, with an aggregate principal amount of $1,199,000 at $1,000 per security, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes pay no interest and are linked to a basket of equity indices: EURO STOXX 50 (38%), FTSE 100 (17%), S&P/ASX 200 (8%), TOPIX (26%) and Swiss Market Index (11%).
At maturity, if the basket’s final level is at or above the initial level (100), holders receive principal plus the greater of the basket return or a fixed $530 upside payment per security. If the final level is below the initial but at or above the 80% downside threshold, holders receive principal only. Below the threshold, losses match the decline, up to total loss. The securities will not be listed. The estimated value on the pricing date was $962.80 per security. Observation date is October 16, 2030; settlement/maturity are October 21, 2025/2030. Proceeds to the issuer total $1,199,000.
Morgan Stanley Finance LLC priced a Rule 424(b)(2) offering of S&P 500-linked Callable Jump Notes due October 21, 2030, fully and unconditionally guaranteed by Morgan Stanley. The aggregate principal amount is $735,000 at $1,000 per note.
The notes pay no interest. If not called and the S&P 500 final level exceeds the initial level of 6,629.07, holders receive principal plus 100% of the index gain; otherwise, only principal is returned at maturity. Early redemption is at the issuer’s discretion via a risk‑neutral valuation model, with fixed redemption payments that increase over time (approximately 7.10% per annum), starting on the first redemption date of October 21, 2026.
The estimated value on the pricing date is $968.00 per note. Sales commissions are $25 per note; proceeds to the issuer are $975 per note, or $716,625 in total. The notes are unsecured, subject to MS/MSFL credit risk, and will not be listed.
Morgan Stanley Finance LLC is offering principal-at-risk Callable Contingent Income Securities due October 27, 2028, fully and unconditionally guaranteed by Morgan Stanley. The notes pay a contingent coupon at 11.15% per annum only when the S&P 500, Nasdaq-100 Technology Sector Index and Russell 2000 each close at or above their coupon barrier on the observation date.
The securities are linked to the worst performing index. If not called and any final index level is below its downside threshold, the maturity payment is reduced 1% for each 1% decline of the worst performer and could be zero; no upside participation. An early redemption may occur on specified dates if a risk neutral valuation model indicates it is economically rational for the issuer. Issue price is $1,000 per security; the estimated value on the pricing date is approximately $981.80 per security. First potential call is April 29, 2026. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Contingent Income Auto-Callable Securities due October 21, 2030, based on the worst performer of the Nasdaq-100, EURO STOXX 50, and Russell 2000 indices.
The notes pay a contingent coupon at 10.20% per annum only when each index closes at or above its coupon barrier (65% of its initial level) on the observation date. They auto-call at par plus the coupon if, on a redemption determination date, each index is at or above its call threshold (100% of initial). If held to maturity and any index finishes below its downside threshold (70% of initial), repayment is reduced 1% for every 1% decline of the worst performer, potentially to zero.
Issue price is $1,000 per security with aggregate principal of $35,056,000; estimated value on the pricing date is $994. Proceeds to the issuer are shown as $34,880,720. The securities are unsecured, not listed, and subject to issuer credit risk. Initial index levels on October 16, 2025 were NDX 24,657.24; SX5E 5,652.01; RTY 2,467.015.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley (MS), priced $5,000,000 of Contingent Income Memory Auto‑Callable Securities linked to the S&P 500 Futures 40% Intraday 4% Decrement VT Index. The notes are $1,000 each and part of MSFL’s Series A Global Medium‑Term Notes program; all payments are subject to the issuer’s and guarantor’s credit risk.
The notes pay a contingent coupon at 14.25% per annum on observation dates only if the index is at or above the coupon barrier of 2,233.65 (75% of the initial level 2,978.20). They auto‑call at par plus any due and unpaid coupons if the index is at or above the call threshold of 2,978.20 (100%) on a redemption determination date, beginning October 16, 2028. If not called, they mature October 21, 2030.
At maturity, if the final level is at or above the downside threshold of 1,935.83 (65%), investors receive par (plus any payable coupons). If below, repayment is reduced 1% for every 1% decline, potentially to zero. The estimated value on pricing date is $906.10 per note. Price to public is $1,000; proceeds to issuer are $990 per note, or $4,950,000 in total. The securities are not listed.
Morgan Stanley Finance LLC priced $975,000 of S&P 500-linked Jump Securities with an auto-call feature, issued at $1,000 per security and fully and unconditionally guaranteed by Morgan Stanley.
The notes may be automatically redeemed on October 23, 2026 if the S&P 500 closing level is at or above the call threshold 6,552.51, paying an early redemption of $1,105 per security. If not called, at maturity on October 14, 2027: if the final level is above the initial level (6,552.51), holders receive principal plus 150% of the index gain; if between the initial level and the downside threshold 5,242.008 (80%), holders receive principal; if below the threshold, losses match the index decline, potentially to zero.
These unsecured, principal-at-risk securities pay no interest and will not be listed. Estimated value on pricing date is $978.50 per security. Selling concessions are $15 per $1,000, with issuer proceeds of $985 per security. All payments are subject to Morgan Stanley’s credit risk.