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 capped, fixed‑coupon, principal‑at‑risk note offering totaling $1,671,000. The securities pay a 7.00% annual fixed coupon, have an original issue price of $1,000 per security and mature on May 6, 2031. The notes are buffered auto‑callable: automatic early redemption is possible beginning on the first redemption determination date of May 3, 2027, and the observation date is May 1, 2031. If not called, principal repayment at maturity depends on the final level of the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index relative to the buffer level (85% of initial level), with a 15% buffer and a minimum payment at maturity equal to 15% of principal. The aggregate proceeds to the issuer after agent commissions are shown as $1,602,489.
Morgan Stanley Finance LLC priced a $3,195,000 issuance of Structured Investments — Enhanced Buffered Jump Securities due August 5, 2027. Each note has a $1,000 stated principal, an 18.30% upside payment ($183) if the worst performing underlier is at or above its 90% buffer on the observation date, and a 10% buffer with a 10% minimum payment at maturity. The securities are unsecured obligations of MSFL, fully guaranteed by Morgan Stanley, pay no interest, have an estimated value of $990.60 on the pricing date, and expose holders to full credit risk of the issuer and downside equal to the decline of the worst performing underlier beyond the buffer.
Morgan Stanley Finance LLC priced a contingent income auto-callable, principal-at-risk note linked to the common stock of Ulta Beauty, Inc. The offering is 100 securities at $1,000 per security (aggregate principal amount $100,000), with an estimated value on the pricing date of $965.60.
The notes pay a contingent coupon at an annual rate of 12.05% only when the underlier’s closing level on each observation date is at or above the coupon barrier ($361.726, 68% of the initial level). The notes are automatically redeemable beginning on the first redemption determination date (November 2, 2026) if the closing level is at or above the call threshold (initial level $531.95), and mature on June 4, 2027. At maturity holders receive principal only if the final level is at or above the downside threshold ($361.726); otherwise payment = principal × (final level / initial level), exposing investors to full principal loss.
Morgan Stanley Finance LLC priced Principal-at-Risk structured notes — jump securities with an automatic early‑call feature tied to the S&P 500® Futures Excess Return Index. The notes have a stated principal amount of $1,000 per security, an issue price of $1,000 and aggregate principal of $1,532,000.
If the closing level of the underlier is ≥ the call threshold (which is 640.761, 110% of the initial level) on the first determination date (May 10, 2027), the notes will be automatically redeemed for an early redemption payment of $1,142.50 on May 13, 2027. If not called, at maturity on May 6, 2031 investors receive either principal plus an upside payment (participation rate 280%), principal only, or a principal amount reduced pro rata if the final level is below the downside threshold (436.883, ~75% of the initial level). All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC is offering Principal at Risk notes due May 6, 2031, fully and unconditionally guaranteed by Morgan Stanley, with an aggregate principal amount of $3,310,000 at a stated principal amount of $1,000 per security.
The securities pay a contingent coupon at an annual rate of 11.60% on each coupon payment date only if the closing level of the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index (the underlier) is at or above the coupon barrier (1,077.632, 80% of the initial level) on the related observation date. Automatic early redemption is possible if the underlier equals or exceeds the call threshold (1,347.04, 100% of the initial level) on a redemption determination date. At maturity, if the final level is below the buffer level (1,144.984, 85% of the initial level), principal is reduced by 1% for each 1% decline beyond the 15% buffer, subject to a minimum payment of 15% of principal.
Morgan Stanley Finance LLC priced a Conditional Lookback Entry Trigger PLUS due October 29, 2030, guaranteed by Morgan Stanley. The securities have a stated principal amount of $1,000 per security, aggregate principal of $4,696,000 and an original issue price of $1,000 per security.
Payment at maturity depends on the S&P 500® Futures Excess Return Index final level versus specified thresholds and a knock-in feature. Key terms include an initial level 577.43, a knock-in level 519.687 (90% of initial), a leverage factor 164%, an upside threshold ~606.302 (≈105%) and a downside threshold 404.201 (70%). The estimated value on the pricing date was $951.00 per security. All payments are subject to Morgan Stanley’s credit risk.
Morgan Stanley Finance LLC is offering Principal-at-Risk structured notes linked to Ulta Beauty, Inc. common stock with an aggregate principal amount of $100,000 and a stated principal amount of $1,000 per security.
The notes pay a contingent coupon at an annual rate of 14.50% on each coupon payment date only if the closing level of Ulta Beauty is at or above the coupon barrier level on the related observation date. The securities are automatically redeemed early if the underlier is at or above the call threshold on any redemption determination date, and mature on June 4, 2027.
If not redeemed early, investors receive the stated principal at maturity only if the final level is at or above the downside threshold ($361.726, or 68% of the initial level). If the final level is below that threshold, the maturity payment equals the stated principal multiplied by the performance factor (final level/initial level) and could be significantly less than, or equal to, zero. All payments are subject to MSFL's and Morgan Stanley's credit risk.
Morgan Stanley Finance LLC offers $6,604,000 aggregate principal amount of dual-directional buffered participation securities due May 7, 2027, fully and unconditionally guaranteed by Morgan Stanley. The notes have a stated principal amount of $1,000 per security and an original issue price of $1,000 per security.
At maturity the payment is tied to the worst performing of the Nasdaq-100, Russell 2000 and S&P 500 indices: upside is capped at $1,138.50 per security (113.85%), an absolute-return participation and a 20% buffer apply, and the minimum payment at maturity is 20 of principal. All payments are subject to issuer credit risk; the estimated value on the pricing date was $993.20 per security.
Morgan Stanley Finance LLC priced a contingent income, memory buffered auto-callable note due May 6, 2031, fully guaranteed by Morgan Stanley. The issue size is $2,969,000 in $1,000 denominations with an estimated value on the pricing date of $902.90 per security. The securities pay a contingent coupon at an annual rate of 10.25% when the underlier meets the coupon barrier on observation dates, feature automatic early redemption if the underlier equals or exceeds the call threshold, and return principal at maturity only if the final level is at or above an 85% buffer; otherwise investors absorb losses beyond the buffer, subject to a 15% minimum payment at maturity.
Morgan Stanley Finance LLC priced a structured, principal-at-risk note program: aggregate principal amount $5,110,000 consisting of securities with a $1,000 stated principal amount issued at $1,000 per security and an estimated value $906.80 on the pricing date. The securities reference the S&P® U.S. Equity Momentum 40% VT 4% Decrement Index, carry a 15% buffer, and feature automatic early redemption opportunities that pay increasing fixed early redemption amounts if the underlier meets or exceeds a call threshold of 1,347.04 on specified determination dates. If not called, maturity is May 6, 2031, with final payout tied to the final level relative to the buffer and a minimum payment equal to 15% of principal. Payments are unsecured obligations of MSFL and are fully guaranteed by Morgan Stanley; all payments remain subject to issuer credit risk.