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 is offering Principal at Risk auto-callable securities linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index with a $1,000 stated principal amount per security and an original issue price of $1,000. The securities pay a 14.50% annual contingent coupon on specified observation dates only if the underlier is at or above a coupon barrier of 60% of the initial level. They may be automatically redeemed on scheduled redemption determination dates beginning November 16, 2026 if the underlier is at or above the call threshold (100% of the initial level). If not redeemed, repayment at maturity (May 20, 2031) depends on the final level: investors receive principal only if the final level is at or above the downside threshold of 60% of the initial level; if below, the payment equals principal multiplied by the performance factor (final level/initial level), exposing investors to full principal loss. Estimated value at pricing was approximately $925.80 per security.
Key qualifiers: the underlier includes a 4.0% per annum daily decrement, uses intraday rebalancing with leverage, has limited live history (inception August 30, 2024), and all payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC offers Capped Leveraged S&P 500® Index-Linked Notes (face amount $1,000 each) that pay at maturity based on the S&P 500® Index performance from the Trade Date to the Determination Date. The notes provide 150% upside participation subject to a cap (Cap Level expected between 113.94% and 116.35% of the Initial Underlier Level) and a Maximum Settlement Amount expected between $1,209.10 and $1,245.25 per $1,000 face amount. If the Final Underlier Level is below the Initial Underlier Level, the Cash Settlement Amount declines proportionately and you could lose some or all of your investment. The notes pay no interest, are unsecured obligations of MSFL, are fully guaranteed by Morgan Stanley and are subject to issuer credit risk. The estimated Trade Date value is approximately $981.60 per note; the Original Issue Price is $1,000 and the offering includes an agent commission of $15.10 per note.
Morgan Stanley Finance LLC priced a structured, principal-at-risk note linked to the S&P® 500 Futures 40% Intraday 4% Decrement VT Index with a $1,000 stated principal per security and an original issue price of $1,000. The securities are auto-callable beginning with the first determination date on May 24, 2027 and mature on May 20, 2031. If the closing level of the underlier is ≥ the call threshold (set at 80% of the initial level) on a determination date, investors receive a predetermined early redemption payment (first scheduled early redemption payment: $1,150.00 per security). At maturity, if the final level is ≥ the call threshold investors receive $1,750.00; if the final level is between the downside threshold (50% of initial level) and the call threshold they receive principal; if the final level is below the downside threshold payment = principal × performance factor. The underlier carries a 4.0% per annum decrement, uses intraday rebalancing and limited operating history, and all payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced a preliminary pricing supplement for Capped Leveraged Basket‑Linked Notes, fully and unconditionally guaranteed by Morgan Stanley. The notes provide 200% upside participation (subject to a Cap Level expected between 114.67% and 117.22% of the initial basket level) and an initial basket level of 100. Morgan Stanley estimates the value on the trade date at approximately $975.70 per $1,000 note; the Original Issue Price is $1,000 and the expected Maximum Settlement Amount is between $1,293.40 and $1,344.40 per $1,000 note. The determination date and stated maturity will be set on the trade date (expected between 16 and 19 months after the trade date). All payments are subject to issuer credit risk and there is no guaranteed principal.
Morgan Stanley Finance LLC is offering $500,000 aggregate principal of callable contingent income securities linked to the worst performing of the NDXT, RTY and SPX indices. The notes have a $1,000 stated principal amount each, an annual contingent coupon of 13.40% (paid only if all underliers meet coupon barriers on observation dates) and a risk‑based early call determined by a risk neutral valuation model. At maturity, if every underlier is at or above its downside threshold, investors receive principal; if the worst performing underlier is below its downside threshold, principal is reduced in proportion to that underlier’s decline. All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering Trigger PLUS principal-at-risk securities fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000; the aggregate principal amount offered is $316,000. The securities are linked to the worst performing of the EURO STOXX 50® Index and the iShares® MSCI EAFE ETF, carry a leverage factor of 193%, have a downside threshold equal to 70% of each initial level, and mature on May 8, 2031. The estimated value on the pricing date was $949.10 per security. At maturity holders may receive (1) principal plus a leveraged upside payment if both underliers finish above their initial levels, (2) only the stated principal if both underliers finish at or above their 70% downside thresholds, or (3) a loss of principal equal to the percentage decline of the worst performing underlier (no minimum payment). All payments are subject to issuer and guarantor credit risk.
Morgan Stanley Finance LLC offers Principal at Risk auto-callable notes due May 15, 2031 that are fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an estimated value on the pricing date of approximately $897.60.
The securities pay a contingent annual coupon of 12.50% on scheduled coupon payment dates only if the underlier meets the coupon barrier (70% of the initial level) on observation dates. They auto-redeem if the underlier is at or above the call threshold (100% of initial level) on any redemption determination date. At maturity, if the final level is below the downside threshold (60% of the initial level), principal is reduced pro rata (performance factor = final level / initial level) and could be significantly less than the stated principal, possibly zero. The underlier includes a 4% per annum decrement and uses intraday rebalancing and leverage; it was established on August 30, 2024.
Morgan Stanley Finance LLC is offering structured, principal‑at‑risk, auto‑callable securities due May 28, 2030 that are fully guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and a participation rate of 150%.
The securities are linked to the worst performing of the Dow Jones Industrial Average and the S&P 500. They may be automatically redeemed on the first determination date May 26, 2027 for an early redemption payment of $1,140.50 if both underliers meet call thresholds. If not called, maturity payoff depends on the worst performing underlier versus a downside threshold set at 70% of the initial level: investors may receive principal plus an upside payment, return of principal only, or a reduced payment that can result in a total loss of principal.
Morgan Stanley Finance LLC offers structured, principal-at-risk notes due May 27, 2031, fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal and issue price and an estimated value on the pricing date of approximately $937.10. The notes link to the worst performing of the Russell 2000 Index and the State Street SPDR S&P Regional Banking ETF (KRE), feature automatic early redemption on the first determination date, a 150% participation rate for upside, and a downside threshold of 70% of each underlier's initial level. Early redemption pays $1,221.50 on the first determination date; maturity payoffs depend on final underlier performance and can result in full loss of principal if the worst performing underlier falls below its downside threshold. All payments are subject to issuer and guarantor credit risk and other conditions "subject to postponement" and market-disruption adjustments.
Morgan Stanley Finance LLC is offering Structured Investments — Buffered Participation Securities due November 17, 2027 — unsecured notes of MSFL fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and an original issue price of $1,000.
Payment at maturity depends on the basket final level versus an initial level (100) and an 85% buffer. The securities pay no interest, have a 100% participation rate in upside subject to a $1,213 maximum payment, and provide a minimum payment of 15% of principal. The estimated value on the pricing date was about $985.80 per security.