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 Principal-at-Risk securities tied to Netflix, Inc. (NFLX) with an 11.50% contingent annual coupon. Each security has a $1,000 stated principal amount and was issued at $1,000; aggregate principal is $4,670,000. The securities pay coupons only if the underlier meets a coupon barrier of $60.893 on observation dates and may auto-redeem if the underlier is at or above the call threshold of $88.25 on redemption determination dates.
If not redeemed, maturity pays the $1,000 principal only if the final level is at or above the downside threshold of $60.893; otherwise payment equals principal multiplied by final level/initial level, exposing investors to full downside loss. Estimated value on the pricing date was $969.60 per security and all payments are subject to Morgan Stanley credit risk.
The filing prices $55,000,000 of Morgan Stanley Finance LLC Fixed Rate Callable Notes due July 13, 2027, issued at $1,000 per note with an estimated value of $995.00 per note on the pricing date. Interest accrues from May 13, 2026 at 4.050% per annum, paid quarterly.
The notes are callable quarterly beginning November 13, 2026 if a risk neutral valuation model determination (using prevailing market inputs and Morgan Stanley’s pricing-date credit spreads) indicates redemption is economically rational; redemption pays 100% of principal plus accrued interest. All payments are subject to issuer credit risk.
Morgan Stanley Finance LLC priced a preliminary pricing supplement for Buffered Participation Securities, fully and unconditionally guaranteed by Morgan Stanley, with a stated principal amount of $1,000 per security. The securities have a participation rate of 100%, a maximum payment at maturity of $1,650 per security (165% of principal), a buffer amount of 10% (buffer level 90), and a minimum payment at maturity of 10% of principal. Key dates: Strike Date: May 29, 2026, Original Issue Date: June 3, 2026, Observation Date: June 29, 2029 (subject to postponement), and Maturity Date: July 5, 2029. The document states an estimated value on the pricing date of approximately $949.90 per security. These are principal-at-risk notes linked to a four-stock equal-weighted basket (META, AMZN, GOOGL, NVDA); payments depend solely on the closing final level on the observation date and are subject to Morgan Stanley credit risk and the product’s limits and fees.
Morgan Stanley Finance LLC is offering structured, principal-at-risk notes due May 28, 2030, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal and an annual contingent coupon of 9.45% payable only if each referenced underlier meets its coupon barrier on an observation date. The securities are linked to the worst performing of the EURO STOXX 50, the Nasdaq-100 Technology Sector and the Russell 2000. Coupon barrier levels equal 80% of each underlier’s initial level; downside thresholds equal 70% of each initial level. If any underlier is below its downside threshold at maturity, payment at maturity equals $1,000 multiplied by the performance factor of the worst performing underlier, and could be significantly less than, or equal to, zero. Estimated value on the pricing date was approximately $964.50 per security.
Morgan Stanley Finance LLC is offering principal-protected, market-linked notes tied to the Morgan Stanley Amplitude Index with a $1,000 stated principal amount per note. The notes pay no interest, have a 400% participation rate in any appreciation of the Index and return the stated principal at maturity if the Index is flat or down. Key dates include a strike/pricing date of May 26, 2026, an original issue date of May 29, 2026, an observation date of May 29, 2029 (subject to postponement) and a maturity date of June 1, 2029. The issuer is MSFL and payments are fully and unconditionally guaranteed by Morgan Stanley. All payments are subject to the issuer/guarantor credit risk; the document discloses an estimated value on the pricing date of approximately $921.50 per note and that the notes will not be listed on any exchange.
Morgan Stanley Finance LLC is offering structured 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, a fixed coupon of 7.00% per annum, an original issue price of $1,000 and an estimated value on the pricing date of approximately $919.60. The securities mature on May 30, 2031 with an observation date of May 27, 2031 and pay monthly coupons. They feature automatic early redemption if the underlier closes at or above the call threshold (100% of the initial level) on a redemption determination date. At maturity, if the final level is below the buffer level (85% of the initial level), principal is reduced proportionally beyond the 15% buffer, subject to a minimum payment at maturity of 15% of stated principal. All payments are subject to the issuer and guarantor credit risk.
Morgan Stanley Finance LLC priced a series of principal-at-risk notes linked to the Nasdaq-100 Index due June 11, 2027. Each security has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $981.80. Payment at maturity depends on the final level of the Nasdaq-100 on the observation date: investors receive the stated principal plus an upside payment if the index is higher (100% participation, capped at a maximum upside payment of at least $1,171.50 per security); if the index falls but remains at or above a buffer of 90% of the initial level, investors receive the stated principal plus a positive return equal to the absolute decline (100% participation) effectively capped at 10%; if the index closes below the buffer, investors lose 1.1111% of principal for every 1% decline beyond the buffer and could lose their entire investment. All payments are unsecured obligations of MSFL and are fully and unconditionally guaranteed by Morgan Stanley; payouts are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC is offering structured Jump Notes due May 20, 2031, fully guaranteed by Morgan Stanley. The notes have a $1,000 stated principal amount per note, a participation rate of 100% and an automatic early redemption feature on the first determination date of May 18, 2027. If the closing level of the S&P 500® Futures Excess Return Index on that date is at or above the call threshold (100% of the initial level), the notes will be automatically redeemed for an early redemption payment of $1,107.50 per note. If not redeemed early, at maturity investors receive the stated principal plus any upside payment only if the final level exceeds the initial level; otherwise they receive the stated principal. All payments are subject to Morgan Stanley's credit risk. The issuer estimates the notes' value on the pricing date at approximately $935.50 per note.
Morgan Stanley Finance LLC priced Principal-at-Risk auto-callable notes due May 22, 2031 linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index. Each security has a $1,000 stated principal amount, an initial estimated value of approximately $948.40, a 350% participation rate and a single early redemption observation on May 21, 2027 (call threshold = 100% of the initial level) for an early redemption payment of $1,250 per security.
The notes do not pay interest, are unsecured obligations of MSFL and are unconditionally guaranteed by Morgan Stanley. At maturity, investors receive either the stated principal plus upside (if final level > initial), the stated principal (if final level ≥ 50% of initial), or a loss pro rata to the index decline (if final level < 50% of initial). All payments are subject to issuer credit risk and complex tax treatment.
Morgan Stanley Finance LLC (guaranteed by Morgan Stanley) is offering preliminary pricing for contingent income auto-callable securities linked to NVIDIA Corporation with a stated principal amount of $1,000 per security. The securities pay a contingent coupon of 14.50% per annum on observation dates only if the closing level of the underlier is at or above a coupon barrier (set at 60% of the initial level). The notes may be automatically redeemed early if the closing level on a redemption determination date is at or above the call threshold (set at 100% of the initial level), in which case holders receive principal plus the contingent coupon for the related period. If the securities are not called and the final level at maturity is below the downside threshold (set at 60% of the initial level), payment at maturity will equal the stated principal multiplied by the performance factor and could be significantly less than principal or zero. The pricing/strike date is May 26, 2026, original issue date May 29, 2026, final observation date June 28, 2027, and maturity date July 1, 2027. The estimated value on the pricing date is approximately $984.70 per security. All payments are subject to Morgan Stanley's credit risk.