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 callable contingent income securities due January 4, 2030, fully and unconditionally guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and is linked to the worst performer of the VanEck Semiconductor ETF (SMH), the Nasdaq-100 Technology Sector Index (NDXT) and the Russell 2000 Index (RTY).
Investors may receive a contingent coupon at 15.50% per year, paid only if on each observation date all three underliers are at or above their coupon barrier levels, set at 75% of initial levels. The notes can be called in whole on scheduled redemption dates if a risk-neutral valuation model indicates early redemption is economically rational for the issuer.
If not redeemed and at maturity each underlier is at or above its downside threshold level of 60% of its initial level, investors receive full principal plus any final contingent coupon. If any underlier finishes below its downside threshold, repayment is reduced 1% for every 1% decline in the worst performer, potentially resulting in a total loss of principal. The estimated value on the pricing date is approximately $975.20 per security, the notes are unsecured, subject to Morgan Stanley’s credit risk, and will not be listed on any exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $16,434,000 of Dual Directional Trigger Jump Securities linked to the EURO STOXX 50® Index and maturing on January 3, 2031. Each $1,000 note pays no interest and offers equity-index exposure with principal at risk.
At maturity, if the index is at or above its initial level of 5,717.83, investors receive $1,000 plus the greater of a 46.35% fixed gain ($463.50) or the full percentage gain of the index, with no upside cap. If the index is below the initial level but at or above the 75% trigger level, investors get a positive “absolute return” matching the percentage loss of the index, up to a 25% gain.
If the index closes below the trigger level on the valuation date, repayment is reduced 1% for each 1% index decline, with no buffer or minimum payment, so the entire principal can be lost. The estimated value on the pricing date is $957.70 per note, below the $1,000 issue price, and the notes will not be listed on any exchange. All payments depend on Morgan Stanley’s credit.
Morgan Stanley Finance LLC is offering $3,000,000 of Contingent Income Memory Auto-Callable Securities due December 21, 2028, fully and unconditionally guaranteed by Morgan Stanley. These principal-at-risk notes are linked to the worst performer of the S&P 500 Index, Russell 2000 Index and Nasdaq-100 Technology Sector Index.
Investors may receive a 10.10% per annum contingent coupon on scheduled dates, but only if each index closes at or above its coupon barrier (80% of initial level). The notes can be automatically redeemed at par plus any due coupons if, on specified dates starting March 16, 2026, each index is at or above its initial level.
If not called and any index ends below its downside threshold (65% of initial level), principal is reduced 1% for each 1% decline of the worst index, potentially to zero. The issue price is $1,000 per note, while the estimated value on the pricing date is $985.90, reflecting issuance, structuring and hedging costs and an internal funding rate.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering principal-at-risk contingent income auto-callable securities due December 23, 2027 linked to the common stock of Wells Fargo & Company. Each security has a $1,000 stated principal amount and issue price, with an estimated value on the pricing date of approximately $972.40 per security, reflecting embedded costs and an internal funding rate.
The notes may pay a 10.00% per annum contingent coupon on scheduled coupon payment dates, but only when the Wells Fargo stock closing level on the related observation date is at or above a coupon barrier level set at no more than 73.50% of the initial level; unpaid coupons may be “remembered” and paid later if a future observation is above the barrier. The securities are automatically redeemed at par plus applicable coupons if the stock is at or above the 100% call threshold on any redemption determination date starting March 19, 2026.
If not redeemed early and the final stock level on December 20, 2027 is at or above the downside threshold level (also at most 73.50% of the initial level), investors receive full principal back plus any due coupons. If the final level is below the downside threshold, repayment is reduced in proportion to the stock decline, leading to a substantial loss of principal and potentially zero return. Payments depend on Morgan Stanley’s credit, the notes are unsecured, will not be listed on an exchange, and involve complex market, liquidity, and tax risks.
Morgan Stanley Finance LLC is offering callable contingent income securities linked to the common stock of Tesla, Inc., fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000, with a total offering of $1,366,000, and an issue price of $1,000 versus an estimated value on the pricing date of $975.70.
The notes can pay a contingent coupon at an annual rate of 23.00%, but only if Tesla’s closing stock price is at or above the coupon barrier of $293.928 (60% of the $489.88 initial level) on each observation date. The same level serves as the downside threshold. If the securities are not redeemed and the final Tesla level is at or above this threshold, investors receive principal back plus any final coupon; if it is below, repayment is reduced in full proportion to Tesla’s decline and can fall to zero.
Beginning March 19, 2026, Morgan Stanley may redeem the notes early on specified redemption dates if a risk neutral valuation model indicates that calling is economically rational for the issuer. The securities are unsecured, subject to Morgan Stanley’s credit risk, may pay no coupons over their life and are not listed on any exchange.
Morgan Stanley Finance LLC is issuing $8,652,000 of Buffered PLUS structured notes linked to the EURO STOXX 50® Index, fully and unconditionally guaranteed by Morgan Stanley and maturing on July 6, 2028. Each $1,000 note offers 200% leveraged upside if the index rises, but total payout is capped at $1,300 per note, or 130% of principal. If the index falls by up to 15%, investors receive their full $1,000 back; below that buffer, losses track the index decline beyond 15%, with a minimum payment of $150, meaning up to 85% of principal can be lost.
The notes pay no coupons, are unsecured and not listed on any exchange, and their value depends on Morgan Stanley’s credit. The issue price is $1,000 per note, while the estimated value on the pricing date is $959.70, reflecting issuing, selling, structuring and hedging costs and the issuer’s internal funding rate. Selling dealers receive a $25 sales commission and a $5 structuring fee per note, and Morgan Stanley’s affiliates may hedge and make a secondary market, but are not obligated to do so.
Morgan Stanley Finance LLC is offering Buffered Performance Leveraged Upside Securities (Buffered PLUS) linked to the iShares MSCI EAFE ETF, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount and issue price of $1,000, with an aggregate principal amount of $979,000, and matures on December 20, 2029. The securities pay no interest.
At maturity, if the ETF’s final level is above the initial level of $94.92, holders receive principal plus 150% of the ETF’s gain, capped at a maximum payment of $1,677.50 per security (167.75% of principal). If the final level is between the initial level and the buffer level of $80.682 (85% of initial), investors receive only principal. Below the buffer, principal is reduced 1% for each 1% decline beyond the 15% buffer, with a minimum payment of 15% of principal. The estimated value on the pricing date is $992.80 per security. The notes are unsecured, subject to Morgan Stanley’s credit risk, are not listed on any exchange and involve complex market, liquidity and U.S. tax risks.
Morgan Stanley Finance LLC is offering Callable Contingent Income Securities due December 21, 2028, linked to the worst performer of the Dow Jones Industrial Average, Nasdaq-100 Technology Sector Index and Russell 2000 Index. Each note has a $1,000 stated principal amount, with a total offering size of $1,643,000, and an estimated value on the pricing date of $978.40 per security.
Investors may receive a contingent coupon at an annual rate of 10.70%, but only if on each observation date all three indices are at or above their coupon barrier levels (generally 75% of initial). Principal repayment at maturity is protected only if every index stays at or above its downside threshold level (about 70% of initial); otherwise, repayment is reduced 1% for each 1% decline of the worst index and can fall to zero.
The notes can be redeemed early, in whole, on specified redemption dates starting December 21, 2026, if a risk neutral valuation model indicates that calling is economically rational for the issuer. The securities are unsecured obligations of MSFL, fully and unconditionally guaranteed by Morgan Stanley, and will not be listed on any securities exchange.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is offering Dual Directional Buffered PLUS notes linked to the S&P 500® Futures Excess Return Index. The $1,000-denomination securities pay no interest and mature on January 7, 2030.
At maturity, investors gain 144% of any index appreciation. If the index is flat or down but not below 80% of its initial level, investors receive a positive return matching the index’s percentage decline, capped at a 20% gain. Below the 80% buffer, principal is reduced 1% for each additional 1% index loss, with a minimum payout of 20% of principal.
The estimated value on the pricing date is approximately $971.50 per $1,000 security, reflecting issuing, selling, structuring and hedging costs and an internal funding rate. The notes are unsecured, subject to Morgan Stanley’s credit risk, not listed on an exchange and may have limited secondary market liquidity.
Morgan Stanley Finance LLC, fully guaranteed by Morgan Stanley, is issuing $2,000,000 of Dual Directional Buffered Participation Securities due April 21, 2027 linked to the S&P 500® Index. Each security has a $1,000 principal amount, pays no interest and carries principal risk.
At maturity, investors can gain from rises in the index or from moderate declines down to a 10% buffer. Upside is fully participated but capped at a maximum payment of $1,141 per security, while the absolute return feature can provide up to a 10% positive return if the index finishes up to 10% below its initial level of 6,800.26. If the index falls more than 10%, principal is reduced 1% for each additional 1% decline, with a minimum payment of 10% of principal.
The estimated value on the pricing date is $984.70 per security, below the issue price, reflecting issuing, structuring and hedging costs and Morgan Stanley’s internal funding rate. The securities are unsecured, subject to Morgan Stanley’s credit risk, not listed on any exchange and may have limited or no secondary market liquidity.