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 Structured Investments — contingent income, memory buffered, auto-callable notes due May 5, 2031, fully guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000. The securities pay a contingent coupon at an annual rate of 12.00% only if the underlier meets the coupon barrier on observation dates and may be automatically redeemed early if the underlier meets the call threshold. The underlier initial level was 1,322.93 (call threshold = 100% of initial); the coupon barrier level is 926.051 (70% of initial) and the buffer level is 1,124.491 (≈85% of initial, buffer amount 15%). If not called and the final level is below the buffer, holders lose 1% for each 1% decline beyond the buffer, subject to a minimum payment at maturity equal to 15% of principal. Estimated value on the pricing date was $940.70 per security; aggregate issued principal is $100,000. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC issues Trigger PLUS notes linked to Invesco QQQ Trust℠ (QQQ) with aggregate principal of $375,000. The securities pay no interest, have a stated principal amount of $1,000 per security and mature on July 6, 2027, with the observation date on June 30, 2027 (subject to postponement for non‑trading days and certain market disruption events).
At maturity the payoff depends on the closing level of QQQ on the observation date: if the final level is above the initial level ($667.74) holders receive principal plus a leveraged upside (200% leverage) capped at $1,177 per security; if the final level is between the downside threshold ($600.966) and the initial level holders receive the stated principal; if the final level is below the downside threshold holders lose 1% of principal for each 1% decline in the underlier, with no minimum payment. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced a Trigger PLUS note series guaranteed by Morgan Stanley, based on the S&P 500® Futures Excess Return Index. The securities have a $1,000 stated principal amount, an aggregate principal amount of $217,000 and an original issue date of May 5, 2031 is the stated maturity date.
At maturity the payout rules are: if the final level > initial level, holders receive principal plus a 200% leveraged upside; if final level is between the initial level and the downside threshold (70% of initial) holders receive principal; if final level < downside threshold holders lose 1% of principal for each 1% decline in the underlier, with no minimum payment. The initial level was 581.37 and the downside threshold is 406.959.
Morgan Stanley Finance LLC is offering principal-at-risk, contingent-income auto-callable securities due June 4, 2027, linked to the worst performing of the Nasdaq-100® Technology Sector Index and the S&P 500® Index. Each security has a stated principal amount of $1,000 and an issue price of $1,000. The securities pay a contingent coupon at an annual rate of 10.50% on observation dates only if both underliers are at or above an 80% coupon barrier; they are automatically redeemed early if both underliers meet 100% call thresholds on any redemption determination date. If not redeemed, maturity payment returns principal only if both underliers are at or above 80% of initial levels; otherwise investors suffer a loss equal to the percentage decline of the worst performing underlier. All payments are subject to Morgan Stanley and MSFL credit risk.
Morgan Stanley Finance LLC is offering Buffered PLUS principal-at-risk securities linked to the S&P 500® Index with a stated principal of $1,000 per security and an aggregate principal amount of $4,163,000. The securities have a 200% leverage factor, a 10% buffer (buffer level 6,488.109), a maximum payment at maturity of $1,130 per security and a minimum payment at maturity of 10% of principal. The initial/strike level is 7,209.01 (April 30, 2026), the observation date is November 1, 2027 and the stated maturity date is November 4, 2027. The estimated value on the pricing date was $966.80 per security and the issue price is $1,000, which includes selling, structuring and hedging costs.
Morgan Stanley Finance LLC offers $988,000 aggregate principal of Trigger PLUS principal‑at‑risk securities fully and unconditionally guaranteed by Morgan Stanley. The securities pay no interest, have a 141.50% leverage factor on the worst performing of the Dow Jones Industrial and the S&P 500®, and mature on May 3, 2030.
At maturity the payoff is: stated principal plus leveraged upside if both underliers finish above their initial levels; stated principal if the worst performing underlier finishes between its initial level and its downside threshold (75% of the initial level); or a full principal loss proportional to the decline of the worst performing underlier if that underlier finishes below its downside threshold. All payments are subject to MSFL and Morgan Stanley credit risk.
Morgan Stanley Finance LLC priced Principal at Risk structured notes linked to the S&P 500® Futures Excess Return Index with an original issue price of $1,000 per security and an aggregate principal amount of $666,000. The notes are unsecured obligations of MSFL and fully and unconditionally guaranteed by Morgan Stanley.
The securities can auto‑call on the first determination date May 7, 2027 if the underlier closes at or above the call threshold (610.439), producing an early redemption payment of $1,150 per security. If not redeemed, maturity is May 5, 2031 with payoffs tied to final index performance: upside participation at a 274% participation rate above the initial level (581.37), protection only down to a downside threshold of 70% of initial level (406.959), and full downside exposure below that level (loss proportional to index decline).
Morgan Stanley Finance LLC priced a Buffered PLUS note due May 5, 2032 that is fully and unconditionally guaranteed by Morgan Stanley and linked to the worst performing of the Dow Jones Industrial Average and the S&P 500® Index. Each $1,000 security does not pay interest; at maturity investors receive either the stated principal plus a 129% leveraged upside of the worst performing underlier, the stated principal (if the worst performing underlier finishes at or above its 90% buffer level), or a loss of principal equal to every percentage point the worst performing underlier falls below the buffer, subject to a 10% minimum payment at maturity. All payments are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced a primary offering of Trigger PLUS principal-at-risk securities, fully guaranteed by Morgan Stanley, totaling $601,000 aggregate principal (stated principal $1,000 per security). The securities mature on May 3, 2030 and reference the worst performing of the Dow Jones Industrial Average and the S&P 500 Index. At maturity, if the worst performing underlier is above its initial level, investors receive the stated principal plus a 132% leveraged upside on that underlier’s percent change; if the worst performing underlier is at or above its downside threshold (70% of initial), investors receive only principal; if below the downside threshold, investors lose an amount equal to the full percent decline of the worst performing underlier (1% loss of principal for each 1% decline), with no minimum payment. The observation date is April 30, 2030 (final levels are the closing levels on that date), and payments are subject to Morgan Stanley’s credit risk. The document states an estimated value on the pricing date of $971.70 per security.
Morgan Stanley Finance LLC priced Trigger Jump Securities linked to Tesla, Inc. stock, issuing $19,596,000 of principal with a $1,000 original issue price per security. The securities pay no interest and mature on November 3, 2027. At maturity, holders receive $1,000 plus a fixed $437.10 upside payment (43.71% of principal) if the final share price is greater than or equal to the initial share price of $381.63. If the final share price is between the initial price and the downside threshold of $248.060 (approximately 65% of the initial price), holders receive $1,000. If the final share price is below the downside threshold, the payment equals the stated principal multiplied by the share performance factor (final/initial share price) and may be less than $650 or zero. The valuation date is October 29, 2027. The estimated value on the pricing date was $974.90 per security and net proceeds to the issuer were $19,106,100. All payments are subject to Morgan Stanley Finance LLC and Morgan Stanley credit risk.