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 structured note offering of $300,000 aggregate principal (stated principal $1,000 per security) comprised of Principal at Risk Callable Contingent Income Memory Securities due March 29, 2029, fully guaranteed by Morgan Stanley.
Each security pays a contingent coupon at an annual rate of 8.85% on observation dates only if all three underliers (Nasdaq-100, Russell 2000, S&P 500) close at or above their coupon barrier levels (70% of initial levels). The notes are linked to the worst performing underlier, carry a downside threshold at 60% of initial levels, permit issuer call based on a risk-neutral valuation model beginning June 30, 2026, and expose investors to full issuer credit risk and potential loss of principal.
Morgan Stanley Finance LLC priced principal-at-risk notes linked to the EURO STOXX 50® Index with a $1,000 stated principal per security and maturity on April 16, 2031. The notes pay no interest; at maturity investors receive $1,000 plus the greater of (i) the percent change in the index applied to principal or (ii) an upside payment of $390 (39%) if the final level is at or above the downside threshold (75% of the initial level). If the final level is below the 75% downside threshold, investors lose 1% of principal per 1% decline in the underlier and could lose the entire investment. Issue price is $1,000 with an estimated value of approximately $955.60 on the pricing date; agent commission is $30 per security. All payments are subject to Morgan Stanley credit risk.
Morgan Stanley Finance LLC prices Principal-at-Risk auto-callable notes linked to Palantir Technologies Inc. class A common stock with a $1,000 stated principal per security and an aggregate principal amount of $738,000.
The securities pay a contingent coupon at an annual rate of 23.00% on observation dates if the underlier meets the coupon barrier of $92.976 (60% of the initial level). They may be automatically redeemed early if the underlier reaches the call threshold of $154.96 (100% of the initial level) on redemption determination dates. At maturity, if the final level is below the downside threshold of $77.48 (50% of the initial level), principal is reduced proportionally to the underlier’s decline.
Morgan Stanley Finance LLC offers contingent income auto-callable securities due April 14, 2031. Each security has a $1,000 stated principal amount and a contingent annual coupon of 11.90% payable only when the closing level of each underlier meets its coupon barrier on observation dates. The securities reference the Dow Jones Industrial Average, the Nasdaq-100 and the Russell 2000 and are fully and unconditionally guaranteed by Morgan Stanley.
The notes may be automatically redeemed starting on the first redemption determination date of April 8, 2027 if each underlier is at or above its call threshold (100% of initial level). Coupon barriers are set at 80% of initial levels and downside thresholds at 70%. If not auto-redeemed, maturity payment returns the stated principal only if each final level is at or above its downside threshold; otherwise investors suffer a loss equal to the decline in the worst performing underlier.
Morgan Stanley Finance LLC offers Buffered PLUS principal-at-risk securities due March 28, 2031 linked to the S&P 500® Futures Excess Return Index with an aggregate principal amount of $1,000,000.
Each security has a stated principal amount of $1,000, an original issue price of $1,000, an estimated value on the pricing date of $942, a 145% leverage factor on upside, a 30% buffer (buffer level = 373.079), and a minimum payment at maturity of 30% of principal. Payments are fully and unconditionally guaranteed by Morgan Stanley and are subject to the issuer’s and guarantor’s credit risk.
Morgan Stanley Finance LLC priced a series of principal-at-risk, contingent income auto-callable notes due April 14, 2027 linked to Alphabet Inc. Class A common stock and fully guaranteed by Morgan Stanley. Each security has a $1,000 stated principal amount and a contingent annual coupon of 11.00% payable only if observation-date barriers are met.
The notes can auto-redeem on specified determination dates beginning July 2, 2026 if the closing level of the underlier is at or above the call threshold (100% of the initial level). If not auto-redeemed, principal at maturity depends on the final level relative to the downside threshold (70% of the initial level); declines below that level produce proportional principal loss.
Morgan Stanley Finance LLC priced $674,000 aggregate of Buffered Participation Securities, fully and unconditionally guaranteed by Morgan Stanley. Each security has a stated principal amount of $1,000 and an issue price of $1,000 per security; the estimated value on the pricing date was $967.80. The securities mature on March 30, 2028 and reference the MSCI EAFE® Index.
Key economic terms: 100% participation rate in positive index performance subject to a $1,421.50 maximum payment (142.15% of principal), a 10% buffer (buffer level = 90% of initial level), and a 10% minimum payment at maturity. Agent commissions were $22.50 per security and proceeds to the issuer were $977.50 per security.
Morgan Stanley Finance LLC issues callable contingent income securities. The securities are $1,000 each with an aggregate principal of $452,000, an estimated value on the pricing date of $933.40 and an original issue price of $1,000 per security. They pay a contingent coupon at an annual rate of 7.85% only when the closing level of each underlier (Dow Jones Industrial Average, Nasdaq-100, Russell 2000) is at or above its coupon barrier (70% of initial level) on observation dates. The downside threshold is 65% of each initial level; if the final level of any underlier is below that threshold, payment at maturity equals the stated principal multiplied by the performance factor of the worst performing underlier, potentially resulting in a significant loss of principal or a zero payout. The notes mature on March 28, 2031 and may be called in whole on specified redemption dates beginning March 30, 2027 if a risk neutral valuation model indicates redemption is economically rational. All payments are subject to Morgan Stanley's credit risk.
Morgan Stanley Finance LLC priced $250,000 of Fixed Rate Callable Notes due March 30, 2033. The notes pay 4.550% per annum, semi‑annual, with an initial interest payment on September 30, 2026. The issuer may redeem the notes in whole (not in part) on semi‑annual redemption dates beginning March 30, 2027, if a risk‑neutral valuation model run (using specified inputs) determines redemption is economically rational. Redemption price is 100% of principal plus accrued interest. Issue price is $1,000 per note; estimated value at pricing was $955.10. Agent commission is $7.50 per note; proceeds to issuer total $248,125.
Morgan Stanley Finance LLC priced a preliminary offering of structured, principal‑at‑risk notes: Enhanced Trigger Jump Securities due October 5, 2027 linked to the worst performing of the Dow Jones Industrial Average, Nasdaq‑100 and Russell 2000.
The securities have a $1,000 stated principal amount and an issue price of $1,000 per security, an estimated value on the pricing date of approximately $962.60, a fixed upside payment of $152.50 (15.25%) and a downside threshold equal to 70% of each index’s initial level. The observation date is September 30, 2027 (subject to postponement) and the maturity date is October 5, 2027. Payment at maturity is based solely on the worst performing underlier and investors may lose up to 100% of principal if that underlier falls below its downside threshold.